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Under general supervision, will apply comprehensive knowledge of mutual fund position maintenance by processing networking requests received through various department portals from financial advisors or branch associates to bring client accounts into or out of the Company system. Will research incoming commission and fees for branch associates to ensure proper receipt and payment. Perform daily follow up to assure completeness and accuracy. May participate in defined work or projects of basic scope and complexity.
Essential Duties and Responsibilities:
• Reviews standard issues, analyzes and interprets data and determines appropriate corrective action.
• Processes various basic department related reports and utilizes departmental databases as well as 3rd party applications
• Answer calls and questions on operational topics and account maintenance.
• Contacts internal/external customers including fund companies to resolve account maintenance issues/requests
• Provides support for department inbox and other peer associates during absences or high volume
• Contributes to departmental projects, documentation, general analysis and testing as needed.
• Supports established departmental policies and procedures
• Monitors reports related to general maintenance issues; notifying advisors on actions concerning client positions
• Understands client needs, identifies root causes of problems, and implements pragmatic solutions.
• Participates in a high learning culture where on-the-job training is prevalent
• Reviews daily tasks for accuracy and completeness. Maintains detailed records/notes to ensure all advisor/client requests are completed in a timely fashion
• Assists other areas of the department with various functions when volume is high and/or staffing levels are low
• Participates in general User Agreement Testing (UAT) for systems and new process implementation
• Travels to the RJA Operating Center in Memphis, Tennessee if deemed necessary in the event of a BCP (Business Continuity Plan) situation involving the St Petersburg campus or vice versa.
Knowledge, Skills, and Abilities:
• Basic investment concepts, practices, procedures and industry regulations related to Mutual Funds
• Basic mathematical skills including addition, subtraction, multiplication, division, percentages, fractions, and averages
• Principles and practices of customer relations and communication
• Excel, Word, Outlook and other applications as needed.
• MS Office sufficient to create letters, documents and send emails.
• Organization and time management sufficient to prioritize workload, handle multiple tasks, and meet critical deadlines
• Researching general issues to provide timely, accurate, analytical and supportive responses.
• Perform basic levels of research, analyze and solve issues
• Read, interpret, analyze and apply transaction information
• Communicate effectively, both orally and in writing with associates, and internal and external customers
• Work well under pressure on multiple tasks concurrently.
• Meet daily deadlines with frequent volume fluctuations
• Establish and maintain effective working relationships.
• Work independently as well as collaboratively within a team environment.
• Display critical thinking at a competent level.
Educational/Previous Experience Requirements:
• High school diploma or equivalent and a minimum of zero (0) to three (3) years of experience in the financial services industry.
• Any equivalent combination of education, experience and/or training approved by Human Resources.
• None required
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