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Supports daily, monthly, and quarterly mutual fund compliance workflows, including monitoring investment restrictions, reviewing regulatory requirements, maintaining compliance checklists, populating compliance systems, preparing audit materials, and assisting with regulatory reporting. The role communicates with fund advisors, auditors, regulatory agencies, and internal accounting, tax, financial administration, and legal teams.

Provides shareholder and financial representative support through phone, email, and chat. Answers mutual fund and account questions, processes complex trades and account maintenance, performs quality-control reviews, assists with associate onboarding, and follows compliance procedures using transfer agency, workflow, and communication systems.

Supports transfer agency operations by coordinating technology integrations, validating account and transaction data, performing reconciliations, reviewing trades, maintaining procedures, and managing recurring alternative investment processing. Serves as a contact for clients, FinTech partners, and brokerage firms, resolves account issues, researches data gaps, and collaborates cross-functionally on onboarding, reporting, automation, and process improvements.

Leads business analysis activities across project lifecycles, including stakeholder communication, requirements validation, application testing, defect resolution, reporting, data analysis, and process improvement. The role partners with developers and cross-functional teams to improve application development practices, troubleshoot issues, and enhance operational quality and efficiency within a financial services environment.

Supports senior sales professionals throughout the business development lifecycle by coordinating meetings and follow-ups, preparing proposals and sales materials, maintaining CRM data, assisting with reports and competitive research, and participating in client calls and networking events. The role develops knowledge of fund administration and accounting services, collaborates with sales and operations teams, and may eventually lead deals with sales leadership.

Develops and supports Envision Power Agent applications, SSRS reports, SQL queries, stored procedures, and JAMS automation jobs. Resolves application support tickets, monitors workflows, supports releases and upgrades, and collaborates with business and technical stakeholders to deliver reliable reporting and operational solutions. The role also uses PowerShell or C# automation, Azure DevOps, and Microsoft technologies while supporting Transfer Agency operations.

Performs mutual fund tax preparation, regulatory compliance, and reporting activities. Prepares income and capital gain distributions, tax provisions, distribution analyses, and tax work papers. Researches federal and state tax regulations, supports regulatory reporting, and gathers documentation for audits involving external auditors, regulatory agencies, and the IRS. Requires strong analytical, organizational, communication, and problem-solving skills.

Processes mutual fund transfer agency activities, including new account setup, redemptions, exchanges, retirement transactions, asset transfers, estate settlements, and account maintenance. Ensures compliance with SEC, IRS, and prospectus requirements, balances deposits, resolves incomplete documentation, and coordinates with shareholders, advisors, custodians, and internal teams.

Provides transfer agency and client support services for 529 plans, including account enrollment, transfers, investment changes, complex trades, account maintenance, reconciliations, correspondence, and compliance-related inquiries. Supports account owners, financial representatives, vendors, and internal teams through phone, email, and chat. Maintains accurate records, applies plan and legal requirements, processes documentation, and assists with onboarding new associates.

Supports and administers transfer agent and shareholder recordkeeping systems. Documents client requirements, troubleshoots issues, runs batch and reporting jobs, reviews client output, and may assist with billing. Acts as a liaison between technical, operational, and client teams during onboarding and change control, while answering questions about services and system functions.