Investor Services Associate Resume Samples

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SS
S Smith
Stephanie
Smith
982 Jarred Brooks
New York
NY
+1 (555) 700 7826
982 Jarred Brooks
New York
NY
Phone
p +1 (555) 700 7826
Experience Experience
New York, NY
Investor Services Associate
New York, NY
Schowalter-Schuster
New York, NY
Investor Services Associate
  • Providing reports and feedback to senior management
  • Perform other related duties as assigned by department management
  • Provide basic technical support to assist investors in troubleshooting issues
  • Provide exceptional customer service to fund investors and managers
  • Provide basic technical support to assist investors with troubleshooting issues
  • You will provide special service for all inbound phone inquiries from investors
  • A thorough knowledge of Fund Structures and all aspects of the services provided by an Investor Services Department
New York, NY
Investor Services Associate Manager
New York, NY
Ondricka, Smith and Kris
New York, NY
Investor Services Associate Manager
  • Assist on IR project management including design, development and execution
  • To create, develop and maintain procedures to ensure an efficient and effective workflow while enabling an excellent service to all Clients
  • Perform day-to-day supervisory responsibility of Associates and Senior Associates, and involvement in performance appraisal, training and development
  • Provide periodic reports and feedback to IR management on investor relation topics, client issues and department initiatives
  • To provide excellent “internal customer service” working with other departments
  • Focus on and deliver upon strategic and development aspects of the business, working to achieve maximum buy-in from team members
  • To provide guidance and support to team members regarding Client queries and to develop and implement solutions for all queries
present
Detroit, MI
Senior Investor Services Associate
Detroit, MI
Nienow, Mraz and Kuvalis
present
Detroit, MI
Senior Investor Services Associate
present
  • Prepare miscellaneous distributions in accordance with instructions from fund manager. i.e. Performance Letters, K1’s, audited financial statements, etc
  • Providing periodic reports and feedback to Investor Services management on a multitude of investor services topics, client issues and department initiatives
  • Execute distribution change requests in accordance with investor/fund manager instructions
  • Act as point of contact for fund investors and managers
  • Process transfer/assignment requests in accordance with investor/fund manager instructions
  • Assisting with the training of investor services staff
  • Compile wire transfer requests in accordance with investor/fund manager instructions
Education Education
Bachelor’s Degree in Finance
Bachelor’s Degree in Finance
California State University, Los Angeles
Bachelor’s Degree in Finance
Skills Skills
  • Strong attention to detail
  • Good knowledge of Microsoft Office product suite
  • Attention to detail and ability to multi-task
  • Ability to quickly learn new concepts and thrive in a fast-paced dynamic environment
  • Independent thinker, strong decision-making capability, common sense
  • A meticulous attention to detail; strong organizational skills
  • Strong proficiency in Microsoft Office, particularly Excel and PowerPoint
  • Quick at learning new software/database applications
  • Coordinate, process and track all fund transactions, including new and additional subscriptions, redemptions and distributions, for institutional and high net worth fund investors by collaborating with internal Fund Accounting, Client Service, Portfolio Management, Business Management, Legal and Compliance teams, as well as external Administrators and Custodians
  • 3+ years’ experience in investor services or related field (financial services/fund administration, corporate communications, portfolio management, or securities analysis) and a strong familiarity with the workings of the capital markets
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12 Investor Services Associate resume templates

1

Investor Services Associate Manager Resume Examples & Samples

  • Day-to-day management of your team to ensure accurate and timely information is distributed & ensure all daily deadlines are being met in line with SLAs
  • Day-to-day management of allocated Clients and any new clients being added to the platform
  • To be a point of contact for all Clients, attending Client visits and in some cases Board Meetings as required
  • Management, review and oversight of all Investor Services activities including transaction processing, AML / Tax document collation/review, Client / investor interactions, adhering to standard processes and controls at all times
  • Identify and implement improvements for Client Service Delivery
  • To provide guidance and support to team members regarding Client queries and to develop and implement solutions for all queries
  • Regular arrangement, attendance and active participation at team meetings
  • The continual on the job training and mentoring of team members, managing team resources, performance and career development
  • Analysis of MIS statistics for your team to ensure maximum efficiencies gained in allocation of workload
  • To create, develop and maintain procedures to ensure an efficient and effective workflow while enabling an excellent service to all Clients
  • Identify need for new / modified procedures and assist in implementation to include the handling of special processing situations, including documentation of exceptions that require strong oversight
  • To be actively involved in Project Management throughout the organisation
  • To provide excellent “internal customer service” working with other departments
  • Focus on and deliver upon strategic and development aspects of the business, working to achieve maximum buy-in from team members
  • To keep up to date in regards to the dynamic changes within the business environment
  • Participate in the annual review process
  • A minimum of 5 years’ experience required within TA/Investor Services, including 1-3 years in a Supervisory position
  • A thorough knowledge of Fund Structures, particularly Irish Funds & their requirements and all aspects of Investor Services processes and related functionalities would be an advantage
  • To take responsibility and accountability for all aspects of the role
  • To be self-motivated
  • Complete confidence regarding the decision making process and guiding staff
  • Display flexibility in order to achieve Department goals
2

Investor Services Associate Resume Examples & Samples

  • 1+ year of related Investor Services experience
  • Bachelor's Degree in Finance
  • Previous Client Service experience
3

Senior Investor Services Associate Resume Examples & Samples

  • Processing and reporting investor transactions including subscriptions, redemptions and transfers and the associated money movement
  • Communicating with internal groups such as accounting, operations, legal and compliance with respect to transaction processing, billing etc
  • Coordinating the set up of new funds on the share registry system
  • Providing periodic reports and feedback to Investor Services management on a multitude of investor services topics, client issues and department initiatives
  • Assisting with the training of investor services staff
  • 3+ years experience in investor services or related field (financial services/fund administration, corporate communications, portfolio management, or securities analysis) and a strong familiarity with the workings of the capital markets
  • A thorough knowledge of Fund Structures and all aspects of the services provided by an Investor Services Department
  • Knowledge of AML/KYC compliance for US and Cayman
4

Investor Services Associate Resume Examples & Samples

  • Track and maintain every aspect of the onboarding process for new fund investors
  • Coordinate, process and track all fund transactions, including new and additional subscriptions, redemptions and distributions, for institutional and high net worth fund investors by collaborating with internal Fund Accounting, Client Service, Portfolio Management, Business Management, Legal and Compliance teams, as well as external Administrators and Custodians
  • Document processes and policies and implement additional procedures to enhance investor communications and transactions
  • Act as a central point of contact for all issues and information for private commingled funds; communicate fund activity and trends to a variety of internal audiences
  • 2-4 years of financial services industry experience; familiarity with investment management products and sales and servicing practices
  • Bachelor’s degree with emphasis in finance, accounting or operations
  • Strong understanding of the asset management business. Ideally, the candidate would have a strong background in hedge fund and asset management processes and transactions
  • Exceptional communication skills; ability to communicate with internal and external business partners at all levels
  • A meticulous attention to detail; strong organizational skills
  • Proactive, motivated self-starter
  • Ability to manage multiple tasks simultaneously in a fast-paced environment
  • Results-orientation; creative approach to problem-solving
5

Investor Services Associate Resume Examples & Samples

  • Respond to inbound internal and external client contacts, typically via telephone and/or email
  • Communicate BMO Fund product information to potential and existing fund holders
  • Understand the current compliance and risk environment
  • Fulfillment of literature requests
  • Bachelor’s Degree in Finance or related degree
  • Series 6 and 63 securities licenses. If not already licensed must be able to obtain licensing within 4 – 6 weeks of hire
  • PC skills including, Microsoft Word, Excel, PowerPoint, and Access, Trust Desk
  • Well-developed verbal and written communication skills
  • Practice effective listening skills
  • Ability to effectively prioritize work and resolve routine problems
  • Ability to concentrate and pay close attention to detail
  • Accuracy is critical due to both client and company impact
6

Investor Services Associate Resume Examples & Samples

  • Managing international client relationships
  • Review, understand and have the ability to discuss fund governing documents with staff and clients
  • Providing reports and feedback to senior management
  • Adhere to investor services procedures and policies in line with regulations globally
  • Assist with processing of investor related activity and tracking of investor static data
7

Investor Services Associate Manager Resume Examples & Samples

  • Perform day-to-day supervisory responsibility of Associates and Senior Associates, and involvement in performance appraisal, training and development
  • Provide periodic reports and feedback to IR management on investor relation topics, client issues and department initiatives
  • Review, understand and have ability to discuss fund PPMs/OMs and investor transaction documents
  • Act as point of contact for fund managers and investors
  • Coordination and active participation in client business meetings
  • Analyze, establish and review new client launches, conversions and fund closures
  • Review and record investor transactions in accordance with the fund’s offering documents
  • Complete and submit underlying investment transactions and ensure all is in good order
  • Review and process wire transfer requests for Treasury in accordance with investor/fund manager instructions
  • Review miscellaneous distributions in accordance with instructions from fund manager
  • Review or produce fund manager reports upon request. i.e. ERISA, Blue Sky, etc
  • Respond to and troubleshoot inquiries/issues raised by investor, fund manager or accounting
  • Assist on IR project management including design, development and execution
  • Perform other IR duties as requested
  • Education: Bachelor Degree or higher
  • Minimum 3 to 5 years relevant supervisory experience
  • Relevant experience in financial services/mutual funds/hedge funds/investor relations/accounting
  • Proven ability to analyze and review discrepancies of financial and descriptive data
  • Strong knowledge of Microsoft Office product suite
  • Strong leadership, organizational and relationship building and training skills
  • Demonstrable presentation, communication, relationship, problem solving and team skills
  • Project management, training and documentation experience
  • Proven ability to learn, design, and implement complex system solutions to improve efficiencies
  • Poised, energetic, and detail oriented
  • Significant degree of self-motivation, direction and integrity
8

Investor Services Associate Resume Examples & Samples

  • 2-4 years of financial services industry experience
  • Familiarity with investment management products and sales and servicing practices
  • Bachelor's Degree in Finance, Accounting or Operations
  • Strong understanding of the asset management business
  • Strong background in hedge fund and asset management processes and transactions
9

Temporary Investor Services Associate Resume Examples & Samples

  • Ability to multi-task while maintaining careful attention to detail
  • Ability to work with a sense of urgency to meet deadlines and address competing priorities
  • Effective written, listening and verbal communication skills
  • Effective problem solving and organizational skills
  • Minimum of 5 years of Investor Services or Compliance experience preferred
  • Experience working within Financial Services industry preferred
  • Equivalent education and experience will be considered
10

Investor Services Associate Resume Examples & Samples

  • Bachelor's Degree with a strong academic record
  • 1-7 years of Operations or Investor Relations experience
  • Prior experience in financial services
  • Proficient in Microsoft applications, particularly Excel, SharePoint, and PowerPoint
  • Ability to operate independently on short- and long-term goals
  • Excellent decision-making capabilities
  • Independent thinker, strong decision-making capability, common sense
  • Comfortable working in a high volume, fast-paced, constantly changing environment
  • Analytical and creative problem-solving skills demonstrated under pressure with tight deadlines
  • Professional, team-player mentality
  • Pricing knowledge
11

Investor Services Associate Manager Resume Examples & Samples

  • Reviewing and approving due diligence documents for fund investors
  • Reviewing, understanding and having the ability to discuss governing documents for hedge fund clients
  • Interacting with hedge fund principals and their investors
  • Bachelors degree in Finance or related field
  • 4+ years experience in investor services or related field (financial services/fund administration, corporate communications, portfolio management, or securities analysis) and a strong familiarity with the workings of the capital markets
12

Investor Services Associate Resume Examples & Samples

  • 6+ years of accounting, finance, or investor relations experience
  • Investor relations experience in a corporate, publicly traded environment or at an administrator
  • Ability to prioritize several tasks at a time and meet tight deadlines
  • Ability to interact directly with sophisticated investors and senior management
  • Strict attention to detail
  • Ability to quickly learn new concepts and thrive in a fast-paced dynamic environment
  • Ability to read and understand financial statements
  • Strong spreadsheet skills
  • Prior private equity, hedge fund or other alternative investment experience
  • MBA/MS/CPA
13

Senior Investor Services Associate Resume Examples & Samples

  • 3+ years of experience in Investor Services or related field (Financial Services / Fund Administration, Corporate Communications, Portfolio Management, or Securities Analysis)
  • Bachelors Degree in Accounting and/or Finance
  • Strong familiarity with the workings of the Capital Markets
  • Knowledge of Fund Structures and all aspects of the services provided by an Investor Services Department
14

Investor Services Associate Resume Examples & Samples

  • Reviewing and processing investor subscriptions, redemptions, transfers, assignments and contact changes
  • Handling daily/routine client information requests
  • Preparing wire transfer instructions in accordance with investor and/or fund management instructions
  • Processing cash, money movements, and reconciliations
  • Supporting the year-end audit process, in collaboration with the team, client, and auditors
  • Supporting the year-end tax reporting process fulfilling respective K-1 requests
  • Supporting corporate goals and business/departmental initiatives
  • Bachelors Degree in Business Administration or equivalent
  • 1+ years’ experience in accounting or related field with experience in the financial services sector a plus
  • Complete knowledge of hedge or mutual funds a plus
  • Extensive knowledge of Anti-Money Laundering and KYC procedures
  • Knowledge of FATCA and tax compliance a plus
  • Sungard Investran experience a plus
  • Proficient in Microsoft Office suite, with emphasis on Excel skills
15

Investor Services Associate Resume Examples & Samples

  • Must possess a strong work ethic and attention to detail combined with “big picture” problem-solving skills
  • Solid communication skills, both written and verbal
  • Must have spreadsheet and organizational skills
  • Positive, team oriented attitude with flexibility to manage change and identify opportunities for change is essential
  • 5-7 years prior financial services experience required
  • Exposure to Hedge Fund accounting, Salesforce and/or other CRM system a plus
16

Investor Services Associate Resume Examples & Samples

  • Monitor bank accounts
  • Reconcile account activity to subscription agreements
  • Update checklist task regarding source of investor subscription funding
  • Facilitate the receipt, dissemination & filing of "hard copy" investor capital activity documentation & related items
  • Administer the receipt confirmation
  • Dissemination & possible work flow initiation of "soft copy" investor capital activity documentation & group email box activity
  • Act as first point of contact for fund investors and managers
  • Provide exceptional customer service to fund investors and managers
  • Process investor subscription activity in accordance with the fund’s offering documents
  • Process investor redemption activity in accordance with the fund’s offering documents
  • Prepare investor transaction reports for delivery to fund accountants and fund management
  • Communicate pending transactions to fund management as required
  • Prepare and validate investor statements to fund accounting information
  • Prepare distribution of investor statements in accordance with investor instructions
  • Maintain distribution information for various documents in accordance with investor and fund management instructions
  • Prepare wire transfer instructions in accordance with investor instructions or fund management instructions
  • Verify that expected cash activity was processed by the bank
  • Prepare miscellaneous distributions of documentation or information in accordance with instructions from fund management
  • Comply with department policies and procedures for processing of above activities
  • Perform other related duties as assigned by department management
17

Investor Services Associate Resume Examples & Samples

  • Act as main contact for fund investors and managers via email and telephone correspondence
  • Process investor subscription and redemption activity in accordance with the fund’s offering documents and anti-money laundering (AML) requirements
  • Prepare distribution of investor statements, letters and miscellaneous documents in accordance with investor and fund management instructions
  • Ensure distribution information is up to date and compliant in accordance with investor and fund management instructions
  • Prepare wire transfer instructions in accordance with investor and/or fund management instructions through various Internet banking platforms
  • Confirm expected cash activity was processed by the bank and communicated to fund accounting and/or fund management
  • Participate in system and process enhancement
  • Bachelor's degree in Accounting/Finance
  • Good knowledge of Microsoft Office product suite
  • Experience in the financial services is a plus
  • Knowledge of hedge or mutual funds is a plus
  • Knowledge of Anti-Money Laundering and KYC procedures is a plus
  • Knowledge of SS&C products is a plus
18

Investor Services Associate Resume Examples & Samples

  • Process investor subscriptions and redemptions in accordance with the funds’ offering documents
  • Process transfer/assignment requests in accordance with investor/fund manager instructions
  • Execute distribution change requests in accordance with investor/fund manager instructions
  • Communicate clearly and concisely to investors and fund managers over the phone and in writing
  • Prepare and distribute investor transaction reports to accounting and fund managers to communicate monthly and pending activity
  • Prepare investor statements for distribution in accordance with investor instructions
  • Load historical documents for conversion accounts
  • Education: Bachelor Degree (Required)
  • Job Related Experience: financial services experience a plus
  • Travel Requirements: 10%
  • Physical Requirements: Standard office requirements
  • Proficient in Microsoft Office product suite
  • Strong written & verbal communication skills
  • Quick at learning new software/database applications
19

Investor Services Associate Resume Examples & Samples

  • Reviewing and approving Anti-Money Laundering tests pursuant to US and Cayman regulations
  • Reviewing the share register database to ensure that all activity is completed accurately and on time
  • Responding to investor audit related inquiries
  • Proven ability to work under pressure and meet deadlines
20

Investor Services Associate Resume Examples & Samples

  • Bachelor's degree in accounting, finance or related field, or equivalent experience
  • One or more years of experience in portfolio/partnership accounting
  • Working knowledge of Microsoft Office products
  • Basic knowledge of Advent applications preferred
  • General knowledge and understanding of portfolio accounting and the investment management industry
  • Proven team-oriented and organizational skills
  • CPA or CFA certification preferred
21

Senior Investor Services Associate Resume Examples & Samples

  • Act as point of contact for fund investors and managers
  • Review/Approve transactions entered by fellow team members
  • Compile wire transfer requests in accordance with investor/fund manager instructions
  • Maintain database and dashboard to keep them accurate and current
  • Prepare miscellaneous distributions in accordance with instructions from fund manager. i.e. Performance Letters, K1’s, audited financial statements, etc
  • Respond to inquiries/issues raised by investor, fund manager or accounting
  • Train new associates on procedures
22

Investor Services Associate Resume Examples & Samples

  • Provide excellent service to participants by utilizing effective listening skills to identify and address stated and unstated needs
  • Demonstrate the ability to utilize effective communication skills to diffuse challenging situations and provide accurate and complete information in a clear, courteous, manner
  • Demonstrate basic knowledge of ICMA-RC’s products and services and the rules and regulations governing retirement plans
  • Preform account maintenance (masterfile changes) and account transactions (loans and disbursement requests and request fulfillment) in a timely and accurate manner
  • Assist participants with form completion, transaction processing and inquires, online access, plan enrollment, system navigation, and account specific inquiries
  • Research, track and resolve basic account issues by working with other associates or departments
  • Add value by directing participants to other resources, products, and services available within ICMA-RC as applicable
23

Investor Services Associate Resume Examples & Samples

  • Coordinating the setup of new funds on the share registry system
  • Bachelor’s degree in Finance or related field
  • 3+ years’ experience in investor services or related field (financial services/fund administration, corporate communications, portfolio management, or securities analysis) and a strong familiarity with the workings of the capital markets
24

Head of Investor Services, Associate Director Resume Examples & Samples

  • Grow and build a team in line with business growth
  • Lead sales demonstrations for the IS team
  • Work within a global framework to ensure the efficient and effective running of the IS Luxembourg team
  • Managing domestic and international client relationships
  • Interacting with fund managers and their investors
  • Building a culture of delivering remarkable service and continuous improvement
  • Review, understand and have the ability to discuss fund governing documents with staff andclients (AIFMD and UCITS funds)
  • Complete due diligence documents for the new fund investors
  • Processing and reporting of investor transactions
  • Reviewing the share register database
  • Coordinating with share registry group to build share registries, client fund parameters and proper statement production
  • Responding to investor and audit related enquiries
  • Provide local management point for Anti-Money Laundering team in Luxembourg
  • Providing periodic reports and feedback to senior management
  • Reviewing and continually improving process
  • Be involved in day to day operations as the team evolves
  • Further developing the Luxembourg footprint for the company
  • Helping to grow the business from the Luxembourg office
  • Directing new business opportunities from new and existing clients
  • Extensive experience including proven ability to manage a team for Transfer Agency and Investor Services for hedge funds and liquid alternative funds
  • Additional experience in a related field an advantage (traditional asset management, finance, corporate communications, portfolio management, or securities analysis)
  • Strong leadership skills with demonstrated ability to drive change
  • Demonstrated ability to manage complex projects
  • Strong planning and organisational skills and entrepreneurial skills
  • Knowledge of accounting, finance and investment concepts
  • Strong communication (verbal and written) and problem-solving skills
  • Demonstrated ability to work successfully in ambiguous environments
  • Must be able to work with all levels within the organisation
  • The ability to adapt to changing priorities and varied decision-making scenarios
25

Investor Services Associate Resume Examples & Samples

  • You will provide special service for all inbound phone inquiries from investors
  • Be a product guide and educate investors on the intricacies of how Lending Club works as an investment
  • You will diffuse and resolve difficult customer situations
  • Identify opportunities from current and potential customers for Client Development team
  • Effectively communicate and educate inbound leads
  • Support the Client Development team with service related requests such as bonus tracking, reporting projects, and account creation
  • You'll navigate various internal systems while on the phone with customers
  • Provide basic technical support to assist investors with troubleshooting issues
  • Analyze and research data from various sources to resolve investor issues and inquiries
  • Act as an ambassador of Lending Club’s vision, value proposition, and brand
26

Investor Services Associate Resume Examples & Samples

  • 3+ years of experience in Investor services or related field (Financial Services / Fund Administration; Corporate Communications; Portfolio Management; or, Securities Analysis)
  • Thorough knowledge of Fund Structures and all aspects of the services provided by an Investor Services Department
  • Exceptional analytical and research skills