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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.

Prepares mutual fund tax provisions, estimated income and capital gain distributions, tax work papers, and distribution analyses. Researches federal and state tax laws, supports regulatory compliance reporting, analyzes book-tax differences, and maintains tax account roll-forwards. Coordinates with financial administration, external auditors, regulatory agencies, and the IRS by gathering information and responding to inquiries. Requires strong analytical, organizational, communication, problem-solving, and tax research skills.

Performs daily fund valuation and accounting processes for assigned mutual funds and investment products. Records and reconciles security trading activity and fund transactions, applies accounting principles to financial assets, forecasts available cash, and reconciles records with custodians, transfer agents, and middle-office teams. Prepares monthly reconciliations and supports annual fund audits while collaborating with internal departments and external business partners.

Oversees ETF fund accounting, NAV valuation, trial balances, basket processing, reconciliations, reporting, and regulatory compliance. Reviews complex fund calculations, resolves settlement and accounting issues, supports audits, manages client and custodian relationships, and oversees operational controls. Leads fund accounting associates through hiring, training, delegation, performance management, and process improvement. Applies accounting principles to various securities and prepares financial, board, budget, and N-PORT reporting.

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.

Processes complex mutual fund and retirement account transactions, adjustments, transfers, reconciliations, and account maintenance while ensuring compliance with IRS, SEC, and prospectus guidelines. Establishes new accounts, manages shareholder records, resolves issues, prepares reports, and maintains accurate financial documentation. Serves as a liaison to shareholders, financial representatives, broker-dealers, fund contacts, and internal teams. Mentors associates, delegates work, supports process improvements, and promotes quality and efficiency.

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.

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.

Leads enterprise AI strategy, product roadmapping, and cross-functional transformation initiatives. Identifies and scales high-impact AI use cases, oversees solution development and deployment, redesigns workflows, drives adoption, advises executive leadership on AI investments and governance, and establishes KPIs for efficiency, cost, quality, and client outcomes. The role also mentors associates and manages stakeholders across business, operations, and technology teams.

The Senior Compliance Analyst conducts compliance testing, evaluates risks and controls, maintains compliance resources and documentation, supports regulatory examinations and audits, prepares committee materials and certifications, monitors policy adherence, and presents findings. The role requires financial services compliance expertise, knowledge of SEC and FINRA regulations, strong analytical and organizational skills, and the ability to mentor associates and coordinate compliance activities.