Operations Specialist (Mutual Funds)

Accountabilities

• Support daily requests and inquiries from clients, correspondents, and internal teams related to mutual fund operations.
• Process mutual fund transactions, including purchases, redemptions, exchanges, and transfers, while ensuring accuracy and compliance with procedures.
• Cook up with mutual fund companies, transfer agents, third-party providers, and internal stakeholders to resolve operational matters.
• Review transaction activity and ensure trades are completed within required processing timelines.
• Perform daily supervisory oversight activities and provide updates to senior team members and management.
• Reconcile mutual fund accounts to ensure transactions are accurately recorded and settled.
• Investigate discrepancies, identify root causes, and coordinate timely resolutions with relevant teams.
• Maintain detailed operational records and prepare reports supporting management oversight and audits.
• Ensure compliance with financial regulations, industry standards, and internal policies.
• Aid in implementing process improvements, training initiatives, and updated operational procedures.
• Support reporting activities and remain informed of changes impacting mutual fund operations.

Requirements

• A detail-oriented financial operations professional with experience in brokerage services, securities processing, or related environments.
• Strong analytical abilities, customer service skills, and the ability to make sound operational decisions while collaborating across teams.
• 2-3 years of experience in the financial services industry, preferably in securities processing, brokerage operations, broker-dealer operations, equity trade lifecycle, or new account functions.
• A Bachelor’s degree in Finance, Business Administration, or a related field, or equivalent professional experience.
• A strong understanding of core brokerage operations and mutual fund transaction processes.
• FINRA SIE and Series 99 certifications required, or willingness to obtain within 90 days; Series 7 certification preferred.
• Excellent verbal and written communication skills with the ability to adapt messaging for different audiences.
• Strong analytical, problem-solving, and decision-making skills with the ability to assess risks and escalate appropriately.
• A highly detail-oriented individual with the ability to interpret complex information and summarize key insights.
• Proficiency with Microsoft Office tools, especially Excel, and experience using reporting and spreadsheet applications.
• Familiarity with SQL, Google Workspace, web-based applications, or similar analytical tools is a plus.
• The ability to manage multiple priorities while maintaining accuracy and meeting deadlines.
• The ability to work a night shift schedule aligned with Central Time Zone hours.
• The ability to work remotely with a reliable internet connection.

Benefits

• Competitive compensation package.
• Remote work flexibility.
• Medical, dental, and vision healthcare coverage.
• Employee Assistance Program (EAP).
• Competitive paid time off (PTO).
• 401(k) plan with employer match.
• Parental leave benefits.
• Health Savings Account (HSA) contribution matching.
• Paid subscription to wellness and mindfulness resources.
• Opportunities for professional growth within a technology-focused financial services environment.