Mutual Fund Job Description

Mutual Fund Job Description

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Mutual fund provides advisors with information regarding sales and ticket charges, fund eligibility and LPL Financial processes as they relate to Mutual Fund, UIT, and Precious Metals Trading and Trade Corrections.

Mutual Fund Duties & Responsibilities

To write an effective mutual fund job description, begin by listing detailed duties, responsibilities and expectations. We have included mutual fund job description templates that you can modify and use.

Sample responsibilities for this position include:

Monitors mutual fund orders to ensure they comply with individual fund and company policies
Interact with mutual fund board, transfer agent and distributor on Boston Partners mutual funds
Interacting with mutual fund board, transfer agent and distributors on mutual funds
Reports directly to the VP of Investment Marketing to ensure consistency and execution of brand and communication strategy for all mutual fund products across the Investment business
Specifically develop annual strategic marketing plans for mutual fund products, including strategic briefs and objectives for targeting existing and new markets
Work closely with Digital Marketing Strategy teams and provide input for digital-specific strategies for Mutual Fund products
Coordinate with product management, sales and Client Relationship Development teams to align on positioning for new product launches and ensure the delivery of consistent, compelling and relevant mutual fund product branding, communications, and concepts
Develop and refine annual marketing budget for mutual fund marketing activities
Stay current with external market trends and marketing efforts to identify industry best practices across the mutual fund space and react appropriately to the competitive environment
Process entries to Trust, G + and BaNCS systems pertaining to Pooled / Mutual fund activities (daily trading, distributions)

Mutual Fund Qualifications

Qualifications for a job description may include education, certification, and experience.

Licensing or Certifications for Mutual Fund

List any licenses or certifications required by the position: CPA, EA, CFA, SOX, JD, CIMA, MBA

Education for Mutual Fund

Typically a job would require a certain level of education.

Employers hiring for the mutual fund job most commonly would prefer for their future employee to have a relevant degree such as Bachelor's and Collage Degree in Finance, Accounting, Business, Economics, Education, Financial Services, Business/Administration, Management, MBA, Marketing

Skills for Mutual Fund

Desired skills for mutual fund include:

Investment Company Act of 1940
Sub-chapter M of the Internal Revenue Code
Blue Sky state securities registration
Excel
Mutual Fund
Trading regulations and requirements
UIT and Precious Metals markets
Access and Outlook
Accounting
Analysis

Desired experience for mutual fund includes:

Reviews previous day’s front-end load purchases for proper pricing and sales charge waivers
Processes trade corrections for previous day’s front-end load purchases as needed
Logs trade corrections on department spreadsheet
Assists branch personnel with inquiries regarding orders and corrections
Excellent knowledge of RRSP, RRIF, TFSA, RESP and non-registered accounts
Excellent knowledge of tax implications involving registered and non-registered accounts

Mutual Fund Examples

1

Mutual Fund Job Description

Job Description Example
Our company is hiring for a mutual fund. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for mutual fund
  • Authorize and process entries to Trust System pertaining to Mutual fund activities (daily trading, distributions)
  • Serve as a key contributor in coordinating audits with external auditors and resolving financial reporting and accounting issues
  • You will be processing all Mutual Fund Transactions
  • Perform regulatory supervision of mutual fund trade corrections
  • Perform invoicing of 12B-1, Shareholder Accounting, and Networking fee payments
  • Report weekly activities, accomplishments, and opportunities through the use of an enterprise Contact Relationship Management (CRM) system
  • Work closely with National Accounts and Client Engagement teams to communicate client voice from the field and articulate tools needed to advance relationships
  • Coordinate and manage all conference activity and speaking engagements within the region, working closely with the Client Engagement team
  • Manage and develop a team of Supervisors/Sr
  • Developing and executing a comprehensive marketing strategy to grow and retain assets in the PACE Select Program
Qualifications for mutual fund
  • Canadian Securities Course or IFIC Canadian Investment Funds Course (CIFC)
  • RESP processing experience
  • Able to review, understand and offer recommendations on legal documents
  • Ability to explain complex legal scenarios to executors while displaying sensitivity and sympathy
  • Ability to work effectively as a member of a team individually
  • Ability to multi-task in a fast paced environment and handle multiple issues or projects at once ability to set priorities among competing demands
2

Mutual Fund Job Description

Job Description Example
Our company is growing rapidly and is searching for experienced candidates for the position of mutual fund. Please review the list of responsibilities and qualifications. While this is our ideal list, we will consider candidates that do not necessarily have all of the qualifications, but have sufficient experience and talent.
Responsibilities for mutual fund
  • Maintains a current knowledge of John Hancock Mutual Fund policies and procedures
  • Perform monthly reconciliation of the accrued expenses, payables and calculate expense ratios for an assigned group of mutual funds
  • Review prospectus fee and expenses tables and expense examples SAI expense tables prepared by the analysts and ensure that deadlines are met
  • Booking of Money Market Trades
  • Sending payments for subscriptions
  • Instructing transfers for internal funds
  • Booking trades into clients accounts
  • Verifying that all proper paperwork is received and complete
  • Using your keen attention to detail, you will also ensure that all compliance and procedures are accurate
  • You will also be responsible for documenting and updating procedure manuals where required
Qualifications for mutual fund
  • Ability to do complex mathematical calculations
  • Knowledge of ROE and Longview trading systems including Morcom, Etickets and manual trade tickets a plus
  • Tack record of successfully managing time-sensitive matters working proactively with both internal and external partners
  • Securities license (Series 7, 6, or 63) strongly preferred
  • Ability to multi-task in that environment and hanfdle multiple items or projects at once, the ability to set priorities among competing demands
  • Candidate should possess knowledge of banking operations, preferably Mutual Funds and/or Money Market fund operations
3

Mutual Fund Job Description

Job Description Example
Our company is hiring for a mutual fund. To join our growing team, please review the list of responsibilities and qualifications.
Responsibilities for mutual fund
  • Actively follow-up on pending issues with respective custodians
  • Review and maintain monthly and quarterly tax compliance, IRC diversification, income tests
  • Verify that all proper paperwork is received and complete
  • Support 529 account processes and controls
  • Serve as a department floater to provide coverage for most functions within the department as needed
  • Responsible for solving complex routine and non-routine problems
  • Collaborate and communicate (written and verbal) with branch offices, third parties, vendors, and internal departments through phone, email and internal messaging systems to solve escalated and complex issues
  • Process accrual and periodic dividends for assigned fund families
  • Schedule and execute SuRPAS system events for nightly processing and posting of client transactions
  • Complete corporate actions pertaining to fund families, mergers, name change, liquidations
Qualifications for mutual fund
  • Problem solving attitude with an eye for detail
  • Bachelor's degree with a minimum of 5 years of related experience in the financial services industry
  • 7 years investment related experience with specific subject matter expertise in mutual funds
  • Othe mechanics of a Transfer Agent
  • Ostrong understanding of the 40 Act, and its implications on business processes
  • Oan up to date working knowledge of key initiatives such as Money Market Reform and FATCA
4

Mutual Fund Job Description

Job Description Example
Our company is looking for a mutual fund. Thank you in advance for taking a look at the list of responsibilities and qualifications. We look forward to reviewing your resume.
Responsibilities for mutual fund
  • You will be providing back office administration including processing Mutual Fund transactions
  • Completes all adjustments (e.g., trades, adjustment, accounting entries, transfers in kind, allocation of dividends, ) needed to keep the fund in balance with the recordkeeping system
  • Works with appropriate areas of the firm and outside partnerships
  • Provide strategic direction and aid in the professional development of the associates on the Portfolio Guidance Team
  • Work in partnership with internal stakeholders and committees in making better informed decisions consistent with the firm's long-term strategy
  • Deliver effective written and verbal communication to financial advisors, internal departments, firm leaders, and investment management firm contacts
  • Work with both internal and external business partners to research and resolve issues, troubleshoot and provide seamless service
  • Seamlessly deliver products and services through various proprietary and non- proprietary distribution channels to profitably grow market share
  • Optimize current opportunities while identifying and acting on emerging medium and long term trends and opportunities
  • Develop a solid understanding of markets, competitors, product trends, advisor and client insights, that can be utilized to effectively support our existing products and to respond to emerging needs
Qualifications for mutual fund
  • Series 7, 66 and 24 required to apply
  • Series 9 & 10 or 53 required within six months of start date
  • An advanced level of proficiency with Jones systems is preferred
  • Must demonstrate comfort and ability to work in a fast paced, high risk environment
  • Must have strong time management and organizational skills with the ability to multi-task and handle a heavy workload in order to be able to fulfill all the roles within the department
  • Must have excellent word-processing and spreadsheet skills
5

Mutual Fund Job Description

Job Description Example
Our company is looking for a mutual fund. We appreciate you taking the time to review the list of qualifications and to apply for the position. If you don’t fill all of the qualifications, you may still be considered depending on your level of experience.
Responsibilities for mutual fund
  • Accountable for ongoing Product Delivery including features enhancements, pricing and positioning
  • Working with the Client Portfolio Management group, support consistent and reliable messaging and positioning on our products, relevant to each of our unique distribution channels
  • Lead a high-quality team of well respected professionals (including recruiting and developing) and foster an environment of ongoing employee development and feedback
  • Ensure team operates in compliance with applicable internal (e.g., mandatory training/ attestation, code of conduct) and external requirements (e.g., MFDA)
  • Passion for building lifelong relationships with each and every client
  • Desire to work with autonomy in an entrepreneurial culture that has the support you can trust in
  • Works in a team based environment with shared goals
  • Promptly answers customer inquiries in a manner that exhibits quality service
  • Brings a service orientation that supports the field sales force in meeting their obligations to their clients
  • Involved in various departmental projects
Qualifications for mutual fund
  • Financial services experience with specific expertise of Investment vehicles and mutual fund products (e.g., asset allocation portfolios, equity products, fixed income strategies
  • Bachelor’s degree with at least 15 years of mutual fund tax experience
  • Undergraduate degree in accounting and CPA certification is required
  • Requires the ability to make recommendations to resolve and improve system issues
  • Must be able to work independently while researching the problem thoroughly and resolving in a timely manner with knowledge of industry and/or regulatory rules and deadlines
  • Must be able to understand the upstream/downstream impacts to other departments and divisions within the firm

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