Job Description Global Fund Services offers fund administration, compliance, legal administration, fund accounting, fulfillment, distribution and marketing, custody, securities lending, transfer agent and shareholder services, and alternative investment product services. Ability to communicate with shareholders, internal departments, fund clients, and administrative agencies to resolve problems regarding shareholder requests and regulatory requirements.

Job Title: Mutual Funds Specialist
Location: Milwaukee, Wisconsin 53202
Duration: 6-month contract Possible extension

Work Arrangement: Hybrid after the first 4 months. The initial period includes training, followed by the requirement to meet 90-day performance standards.

<.> Job Description

Global Fund Services offers fund administration, compliance, legal administration, fund accounting, fulfillment, distribution and marketing, custody, securities lending, transfer agent and shareholder services, and alternative investment product services. We provide the efficiencies necessary for fund sponsors to deliver economical competitive products while protecting their business interests and minimizing risks.

As a transfer agent, we act as a liaison and provide service to over 200 mutual fund/alternative investment companies and their shareholders. We have a fantastic opportunity for individuals with excellent multitasking abilities to provide a superior level of service to our growing group of high-profile clients and their shareholders. Efficient and detail-oriented individuals will be able to showcase their talents and develop long-lasting relationships through excellent verbal and written communications.

• Process a variety of complex client/shareholder mutual fund transactions, including new account setups, purchases, redemptions, exchanges, and account maintenance within work standards for productivity and accuracy.

• Analyze and process advanced financial and non-financial specialized trades.

• Perform intricate analysis of prospectuses, signature guarantees, trust agreements, qualified plan prototypes, wills, divorce decrees, and corporate resolutions.

• Actively ensure compliance with the Code of Ethics and all Anti-Money Laundering, Bank Secrecy Act, information security, and suspicious activity reporting requirements, policies, and procedures.

• Act as a mentor, working with trainers, new specialists, and their managers to help individuals transition from the training room to their team.

• Participate in a culture of continuous improvement, risk-based thinking, and employee engagement driven by ISO 9001 certification.

Basic Qualifications

• Two to four years of post-high-school education or equivalent work experience.

Preferred Skills/Experience

• Working knowledge of the securities/mutual fund industry, terminology, rules, regulations, practices, and procedures gained through industry experience or post-secondary education, or a minimum of one year of experience as an Account Services Representative 3.

• Excellent oral and written communication, mathematical, PC, and customer service skills.

• Ability to collect, interpret, and apply diverse client/fund information and regulatory guidelines.

• Strong reading comprehension skills to effectively interpret shareholder requests and legal documents.

• Ability to perform all types of transactions with minimal supervision while maintaining or exceeding internal/external quality and productivity goals.

• Ability to act as a mentor, working with trainers, new processors, and their managers to help individuals transition from the training room to the processing teams.

• Ability to communicate with shareholders, internal departments, fund clients, and administrative agencies to resolve problems regarding shareholder requests and regulatory requirements.

<.> Additional Responsibilities – Account Services

• Analyze moderately complex shareholder transactions to determine proper departmental routing.

• Review documentation for regulatory compliance and indications of fraudulent activity.

• Complete shareholder identity verifications when necessary.

• Prepare and image documents into the electronic document management system.

• Analyze and process shareholder subsequent investments.

• Image, encode, and endorse shareholder checks.

• Resolve internal and external issues that are sometimes not documented within work instructions and maintain work standards for volume and accuracy.

• Maintain shareholder purchase transactions as requested.

• Promptly research and complete records requests received from internal and external clients.

• Assist with the receipt, cataloging, and preparation for off-site storage of client records and documents.

• Coordinate retrieval of documents stored off-site as needed.

• Assist with department-wide projects and initiatives.

• Provide assistance with converting records and deconverting records for incoming and departing clients.

• Mentor and review work product of Document Distribution Representatives 1, 2, or 3 as needed.

• Assist with department initiatives as requested.

• Complete system maintenance as needed.

<.> Document Distribution Responsibilities

• Mail all correspondence with appropriate enclosures to shareholders, clients, and administrative agencies.

• Print and enclose forms for letters created through automation and then mail.

• Review letters generated by correspondence writers that are returned by mail to ensure the address is correct, and forward them to the next step in the process.

• Complete monthly inventory of letterhead and envelope stock used by correspondence letter writers and the Document Distribution Department (DDD).

• Participate in a culture of continuous improvement, risk-based thinking, and employee engagement driven by ISO 9001 certification.

<.> Additional Responsibilities

• Process new accounts, purchases, redemptions, exchanges, and account maintenance.

• Process change requests to meet critical deadlines.

• Respond to current and prospective shareholder inquiries received via telephone, providing general investment company information such as minimums, options, and account balances.

• Initiate customer or account financial transactions and adjustments as authorized by department guidelines.

• Calculate and process exact share trades, determine dividend distribution amounts, and reconcile account balances.

Preferred Skills/Experience

• Ability to collect, interpret, and apply diverse client/fund information and regulatory guidelines.

• Ability to perform multiple tasks in a dynamic working environment with minimal supervision.

• Effective verbal and written communication skills.

• Proficient mathematical and computer skills.

• Excellent customer service skills.