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 questions regarding existing mutual funds serviced.
• 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.
• Affords assistance 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.
• Might 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.

• 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.