Shareholder Services Specialist II

SUMMARY

The Shareholder Services Specialist II is responsible for providing various contact center and transfer agency functions. This role requires in-depth mutual fund knowledge and will interact directly with shareholders, financial representatives, team members, and management.

KEY ACCOUNTABILITIES

SHAREHOLDER AND FINANCIAL REPRESENTATIVE SUPPORT

• Answers incoming call, email, and chat interactions.
• Initiates outgoing call interactions.
• Answers incoming email and chat interactions
• Answers questions regarding existing mutual funds serviced. Knowledge obtained from mutual fund websites, fund literature, or performance reports and regulatory documents will be utilized to answer questions.
• Answers questions regarding existing mutual fund shareholder accounts. Knowledge obtained from the transfer agent recordkeeping system will be utilized to answer questions.
• Inputs complex trades such as model rebalances, end-result exchanges, large dollar trades, automated investment plans, systematic withdrawals, etc. into a recordkeeping system.
• Inputs complex shareholder account maintenance such as account linking, account restrictions, model updates, etc., into recordkeeping system.
• Completes quality control reviews on work performed by members of the team.
• Assists with onboarding of new department associates.

COMPLIANCE AND SUPPORT ACTIVITIES

• Learns and utilizes compliance procedures, desk policies and legal requirements, Fund Knowledge Base, voice communication platform, transfer agent recordkeeping and workflow system, call performance standards and guidelines, and online portals.

WORKING RELATIONSHIPS

• Daily contact with shareholders, financial representatives, broker-dealer firms, and fund companies.
• Daily contact with members of team and internal departments regarding follow-up inquiries, open workflow, collateral orders, etc.

May perform other duties as required and assigned.

EDUCATION AND EXPERIENCE

• Undergraduate degree in business administration, finance, or related area.
• Series 6 or 7 license or ability to obtain within 3 months of employment.
• 3-5 years of experience in client services or related field.
• Experience within the back-office of a retirement services department, clearing firm, brokerage firm, mutual fund department, or within the financial services industry.

• Equivalent education and experience will be considered.

KNOWLEDGE

• Mutual funds and retirement plans.
• Microsoft Office Suite.
• Adobe Acrobat.

SKILLS AND ABILITIES

• Provides exceptional customer service skills using proper phone etiquette.
• Comprehends, retains, and explains services, company policies, and legal requirements to shareholders and financial representatives.
• Troubleshoots issues utilizing creative and critical thinking skills.
• Multitasking, analytical, and organizational skills.
• Initiative-taking, strategic, and meticulous approaches with a strong commitment to quality, efficiency, and effectiveness.
• Demonstrates personal integrity, responsibility, and accountability.
• Effectively uses resources such as time and information in conjunction with associates.
• Participates in solving problems and making decisions.
• Presents and expresses ideas and information, written and oral, clearly, and concisely.
• Actively listens to others to achieve understanding and supports an open exchange of ideas and information.
• Identifies needs, arranges for, and obtains resources to accomplish individual and department goals.
• Establishes and develops effective working relationships with associates and clientele during both favorable and unfavorable situations.
• Modifies team and individual priorities and deadlines in response to added information, changing conditions, or unexpected obstacles and ensures completion.

Ultimus is an equal opportunity employer and does not discriminate on the basis of the applicant’s or employee’s race, color, religion, national origin, ancestry, gender, sexual orientation, age, disability, veteran or military status, genetic information, citizenship or any other status entitled to protection under federal, state or local anti-discrimination laws. No questions on our employment application are intended to secure information that is to be used for impermissible purposes.