Mutual Fund Resume Samples
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Mutual Fund Resume Samples
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SH
S Harvey
Sally
Harvey
248 Sipes Manors
Detroit
MI
+1 (555) 291 0487
248 Sipes Manors
Detroit
MI
Phone
p
+1 (555) 291 0487
Experience
Experience
San Francisco, CA
Mutual Fund Income Analyst
San Francisco, CA
Kiehn-Feil
San Francisco, CA
Mutual Fund Income Analyst
- Assist with Training and training development
- Providing offshore assistance
- Coordinating with management on team projects
- Assist with Training
- Provide excellent customer service to both our internal and external clients and service partners, responding timely and professionally to client inquiries
- Working with our large “National Banks”
- Assisting with client implementations when necessary
Chicago, IL
Mutual Fund Liasion Operations Associate
Chicago, IL
Stiedemann Group
Chicago, IL
Mutual Fund Liasion Operations Associate
- Perform validation of assets and information gathering directly with the Funds for RFP’s for Sr. Management
- Work in partnership with Fund families and Operations associates and leadership enhancing the growth of our business relationships
- Perform ongoing review and cleanup of TrustFocus
- Teamwork orientation
- Perform updates to TrustFocus in accordance with Fund notices
- Working knowledge of industry terminology, rules, regulations, best practices, and procedures
- Create Fund Profiles based on agreements and negotiations with the Fund families
present
Los Angeles, CA
Director, Mutual Fund Research
Los Angeles, CA
Hayes Inc
present
Los Angeles, CA
Director, Mutual Fund Research
present
- Develops and implement strategies across marketing and sales functions to support others in building and expanding financial services business
- Interacts with and directs mutual fund product providers regarding tactical sales and marketing plans/campaigns
- Leads department planning, strategy, and production meetings
- Directs assignment of research and/or marketing projects and travel. Approves related expenses for dept. associates
- Ensures that Raymond James’ mutual fund platform remains competitive with peers and remains up to date with evolving industry and regulatory environments
- Provides telephone and email support to RJ financial advisors regarding mutual fund industry and companies
- Edits and approves written mutual fund research or marketing reports, due diligence and white papers
Education
Education
Bachelor’s Degree in Accounting
Bachelor’s Degree in Accounting
Loyola University Chicago
Bachelor’s Degree in Accounting
Skills
Skills
- Represent the company in a highly professional manner
- Basic database and technology concepts
- Organizing, managing and tracking multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment
- Excellent leadership skills to provide a high level of organizational development
- Multi-task, work in teams, self-motivate/take initiative, innovate, work independently, adapt, accept and lead change, meet deadlines
- Morningstar/Morningstar Direct systems
- Concepts, practices, and procedures of mutual fund marketing and product management in a financial services/broker dealer environment
- Industry knowledge, critical thinking, excellent verbal and written communication skills, collaborative spirit, and leadership by words, and more important, actions
- Advanced knowledge of investment concepts, practices and procedures used in the securities industry regarding applicable legislation, compliance standards, policies and procedures within assigned business area
- Cultivating and maintaining effective working relationships at all levels of the organization
11 Mutual Fund resume templates
Read our complete resume writing guides
1
Project Analyst Iv-mutual Fund Operations Resume Examples & Samples
- Leads the work of others and provides training in project analysis methods and techniques
- Coaches and mentors other project analysts and ensures that there is consistency in the application of project management methodology within project teams
- Builds project plans based on resource estimates, timelines and budget and other financial information
- Creates and maintains internal project management tools, including work breakdown structures, work package planning spreadsheets, Gantt charts, dependencies diagrams, forecasts, actual and variance reports, costs, system changes, risk assessment ratios, templates and related applications
- Creates and updates project schedules using automated project management software
- Serves as a liaison between project managers and internal customers to define and clarify project requirements and parameters
- Develops and summarizes the annual project report summaries
- Manages change control and resolves or escalates project issues with management in assigned functional area
- Maintains documentation and communications, including status reports, project charters and quality assurance reviews
- Consolidates and refines status reports into program level and senior management reports
- Develops audio-visual materials and participates in presentations to project stakeholders
- Maintains the projects web site
- Track expenditures and maintains project financial reports, forecasts and accruals
- Ensures post-project reviews are completed in a timely manner
- Acts on behalf of project managers, as required
- Trains others to use required project management methodologies and provides user support for project management software and templates
- Provides administrative support to project management teams and serves as liaison with technical and vendor support
- Keeps abreast and maintains working knowledge of current project analysis and management methodologies
- Advanced concepts, practices and procedures of project analysis and project management
- Principles of banking and finance and securities industry operations
- Financial markets and products
- Advanced business case analysis
- Advanced project resource planning
- Advanced project management concepts and methodologies
- Building project plans and creating and maintaining project management tools
- Creating and updating project schedules using automated project management software
- Defining and clarifying project requirements and parameters
- Managing project changes and dealing with project issues
- Maintaining project documentation and communications
- Developing audio-visual materials and presentations
- Maintaining a web site
- Tracking expenditures and maintaining project financial reports, forecasts and accruals
- Lead the work of others and provide training in project management analysis methods and techniques
- Incorporate needs, wants and goals from different business unit perspectives into project analysis activities
- Read, interpret, analyze and apply information from professional publications
- Incite enthusiasm and influence, motivate and persuade others to achieve desired outcomes, without organizational authority
- Prioritize and support multiple projects and priorities in a fast-paced, dynamically changing environment
- Work independently as well as collaboratively within a team environment
- Establish and maintain effective working relationships with others at all organizational levels
2
Asset Management Mutual Fund Associate Resume Examples & Samples
- Oversight of a small team (coordinating schedules/coverage)
- MIS Reporting
- Break Monitoring
- Escalation contact for BAU issues
- Trade Support - processing and oversight of JPMorgan Fund (Domestic and Offshore) accepted orders with the Fund Company for execution and confirmation
- Order confirmation to ensure that the Fund returns the confirmation with NAV and number of shares to operating system
- Order posting to match and reconcile the execution of the order and post the trade to the customer account on a real-time basis and coordinating money movement with the Fund Company
- Reviewing and processing rejected orders, corrections, drip elections, share class conversions or exchanges
- Providing and supporting various on-line and batch reporting requirements and the monitoring and resolution of various break reports daily
- Monitor Money Market deadlines and oversee money movement with the Fund Company
- At least one year of Mutual Fund operations experience - Capital Gains, Dividends/Dividend Reinvestment, Fund Order Entry, Order Execution, and Registrations/Maintenance
- Knowledge of Microsoft Excel required and Access preferred
- At leastthree years experience in a securities/banking environment
- Licensed Series 99 or ability to obtain within 120 days
3
Mutual Fund Financial Analyst Resume Examples & Samples
- Assist the Funds’ Treasurer in the oversight and maintenance of effective financial controls over aspects of fund accounting, fund administration and financial reporting operations for the RBC Funds, including analysis of mutual fund operating expense budgets, accruals and payments. (25%) *
- Review mutual fund financial statements created by third-party fund accounting agent to ensure information is accurate, properly reflects the funds’ financial position and includes all disclosures required by GAAP and/or SEC regulations. Resolve issues and respond to requests from external auditors during annual audits of the RBC Funds. (25%) *
- Provide support for the creation of materials for quarterly meetings of the RBC Funds’ Board of Trustees and its committees. (10%)
- Preparation of various monthly Fund financial reports for distribution to internal business partners. (10%)
- Assist in the review of various monthly, quarterly and annual regulatory filings for the RBC Funds (10%)
- Support and provide back-up for Funds’ Treasurer as needed to ensure accurate valuation of the RBC Funds’ portfolio securities (10%) *
- Provide oversight of other fund operational and administrative areas primarily performed by third-parties, including proxy voting, Blue Sky registrations (10%)
- 3-5 years accounting/finance experience, with at least two years experience in public accounting and/or within a financial services company (preferably investment management)
- Excellent communication and interpersonal skills to work effectively and to professionally represent RBC GAM (US) and the RBC Funds
- Proficient computer skills, particularly with Microsoft Office products (Excel, Word, Power Point)
- High level of attention to detail
- Ability to effectively interact with all levels of management
- High level of drive and initiative mixed with ability to deal with multiple stakeholders
- Ability to handle shifting and multiple responsibilities and respond in a rapidly changing operating environment
- An understanding of the sense of urgency associated with the management and operation of a registered investment company
- Significant knowledge and/or experience in mutual fund accounting and administration and investments preferred
- MBA and/or CPA strongly preferred
4
Am-gwm Mutual Fund Specialist Resume Examples & Samples
- Ability to multi-task in a fast paced environment and handle multiple issues or projects at once as well as ability to set priorities among competing demands
- Strong process control mindset
- At least one year of Mutual Fund operations experience
5
Am-mutual Fund Specialist Resume Examples & Samples
- Series 7 Preferred
- Expert on all phases of Mutual Funds (i.e., Capital Gains, Dividends/Dividend Reinvestment, Fund Order Entry, Order Execution, and Registrations/Maintenance)
- Knowledge of NSCC Networking and FundSettle
- Knowledge of Securities Operations
- Strong problem solving, decision making, and analytical skills
- Ability to work effectively as a member of a team as well as individually
- Strong client focus mindset
- Understanding of technology and process flows
- At least three years experience in a securities/banking environment
- Bachelor's Degree in Business or Finance preferred
6
Mutual Fund Sales Desk Analyst Resume Examples & Samples
- Provide sales and marketing support to financial advisors on the various fund offerings
- Assist advisors with use of Desktop tools such as Morningstar Advisor Workstation, Morningstar GPS Tool
- Escalate issues accordingly and set expectations for Financial Advisors throughout the process
- Participate in mutual fund and ETF company meetings to become familiar with product solutions and product changes
- One year related financial services experience preferred
- Series 7 preferred, required within 4 months of joining the desk
- Excellent verbal and interpersonal skills
- Should possess a strong focus in customer service
7
Am-mutual Fund Specialist Resume Examples & Samples
- Knowledge of Mutual Fund Companies and their requirements
- Securities industry and terminology preferred
- Minimum of three years experience in a securities/banking operations environment
- Knowledge of OMNI a plus
- Investigation skills (researching cash and position breaks, and trade issues)
- Actively involved in projects and testing
- Ability to work in a fast paced environment, handle multiple issues or projects at once and set priorities among competing demands
- Building internal/external relationships
- Ability to work overtime when needed
8
Mutual Fund Product Specialist Resume Examples & Samples
- Bachelors degree in finance or a related field
- 5-7 years of experience in mutual fund support
- Experience in transfer agency, custodian, mutual fund administrator, and broker-dealer is a plus
- Experience with CIT's, UCIT's or other daily valued funds is a plus
- Experience with analysis of Sales and Commission reporting is a plus
- Self-starter, with the ability to work independently as well as within a team
- Reporting experience with Access Data and Salesvision, or similar technologies
9
Mutual Fund Marketing Manager Resume Examples & Samples
- 10+ years of Investment industry experience
- Knowledge of the Investment Management Business across Equities, Fixed Income and Alternatives
- Solid project management skills (fast-paced, tight timelines, deadline-centric)
- Working knowledge of legal requirements for 1940 Act Mutual Funds and FINRA marketing rules
- Microsoft Office/Suite proficient (Word, Excel, PowerPoint, etc.)
10
Asset Management Mutual Fund Specialist Resume Examples & Samples
- Knowledge of Domestic & Offshore Mutual Funds
- Knowledge of Selling Agreements and Fund prospectus
- At least one year of NSCC/FundServ experience
- Euroclear/FundSettle experience
- Knowledge of CMS, E-Rules, PCS Mutual Fund List and MFRS applications a plus
- Analyzing errors and processing rejected trades and corrections
- Executing and settlement of manual trades
- Moving money in/out of house account and ledgers
- Strong problem solving, decision making and analytical skills
- Ability to work effectively as a member of a team
- Knowledge of Microsoft Excel and Access required
- Series 7 license preferred
11
Mutual Fund Consultant Resume Examples & Samples
- 2+ years of investment sales experience
- Financial Services Industry experience required
- Mutual experience strongly preferred
- Bachelor’s degree with a 3.2 overall GPA or higher
12
Mutual Fund Financial Administration Intermediate Analyst Resume Examples & Samples
- Compile and maintain appropriate work paper support
- Prepare , edit and file with filing software (EDGAR Ease)
- 5-7 Years Related Experience
- Excellent computer skills, including word processing, and spreadsheet
13
Mutual Fund Expense Analyst Resume Examples & Samples
- Create and analyze Expense Budgets by forecasting fixed expenses based on payments trends. Research budget changes and payment fluctuations each month
- Take ownership of a set group of Mutual Funds to recon monthly the payables, accrued expenses and ratios on these funds and be able to independently research any discrepancies
- Monitor variable expenses to ensure accruals are set per the agreements and be able to perform pro-forma variable fee calculations, if fee structure changes
- Monitor reimbursement monthly to ensure the expense caps are working correctly and raise any issues directly to the Fund Accounting Team
- Prepare prospectus fee tables and provide explanations to management for any significant changes from the prior year. Review the accuracy of expense data and disclosure in the prospectus tables and bring any questions or concerns to the Legal Team
- 2+ years of mutual fund accounting / administration / audit experience
- Strong process and time management skills, with ability to manage multiple concurrent responsibilities in a constantly changing environment
- Proficiency in Microsoft Office is highly desirable
14
Mutual Fund Trader Resume Examples & Samples
- Provide exceptional customer service to Financial Advisors, their assistants, their clients and LPL Financial internal business partners as it relates to Mutual Fund, UIT and Precious Metals trading and trade corrections
- Accurately enter all trade orders in a timely manner without error across multiple trading platforms. (BranchNet Online Mutual Fund Trading platform, BETA, FideliTrade, UIT sponsor online systems)
- Maintain knowledge about various products supported by the trade desk (Mutual Funds, UITs, Precious Metals, ETFs). Be able to explain the differences between the products to advisors, clients and internal business partners
- Ensure compliance with regulatory requirements and adapt to regulatory changes. Traders must be able to explain regulatory requirements and changes in requirements to Financial Advisors, clients and internal business partners
- Guide Financial Advisors and their assistants through LPL Financial processes and system platforms as they relate to Mutual Fund, UIT and Precious Metals trading and trade corrections. Assist with system and operational issues as well as assisting with system enhancements and upgrades
- Support internal business partners with executing trades (Transfers, Managed Platforms, Research, etc)
- Ensure contingency plans are in place to support system outages (including processing large volumes of trades via macro processing into our back-end trading system)
- Provide 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
- Complete principal review of Mutual Fund and UIT trade processing to ensure compliance with regulatory requirements (including breakpoint review, large trade review and after hours trading review)
- Manual data entry of UIT and Precious Metals trade at the end of each business day into the back-end system
- Collaborate with internal business partners to support system enhancements and testing, resolve escalations and adapt to process changes
- Support intraday adjustments to mutual fund trades
- 3 to 5 years of financial services, preferably in Trading
- Series 7 and 63 required / Series 24 preferred
- Strong MS Office skills required and Beta, Morningstar, Siebel, BranchNet experience preferred
- Ability to work independently and within a group setting
- Ability to work with other departments
- Knowledge of Mutual Fund, UIT and Precious Metals markets
15
Cib-global Equities Mutual Fund Trader Resume Examples & Samples
- Daily Risk Management of the Mutual Funds trading book
- Pricing of Mutual Fund trades for clients
- Working with structuring team on idea generation on Mutual Fund products for global clients
- Knowledge of Mutual Fund structures
- Ability to work well with multiple teams (structuring, sales, MO…etc) under pressure and to tight deadlines
- Some knowledge of US regulatory and accounting rules relevant to Mutual Funds would be a plus
16
Mutual Fund Product Associate Resume Examples & Samples
- Produce monthly and quarterly fund commentary regarding factors impacting performance
- Coordinate and update fund-specific presentations, pitchbooks and sales ideas detailing overall fund positioning
- Coordinate and update Portfolio Manager biographies, fund and strategy profiles, and fund histories
- Generate and gather analytical data to support positioning recommendations for mutual funds
- Develop and update slides and presentations to support sales meetings
- Complete Request for Information (RFIs) and consultant questionnaires
- Maintain and populate third-party databases (e.g.: Morningstar, Lipper) with performance and share class information and fund reclassifications, as necessary
- Verify product website content and postings are current and accurate
- Respond to special requests from Senior Management
- Periodic product related training for Sales Desk
- Monitor Industry Trends Convert observations into actionable Ideas
- Monitor market events and the impact on designated products develop actionable ideas to help Sales maximize opportunities, where necessary
- Read trade publications and develop sales ideas or positioning points
- Understanding of financial markets, investment concepts, styles and issues
- Must be able to effectively communicate and work with the Prudential Investments Sales and Marketing teams
- Must have the ability to handle multiple projects simultaneously and to be able complete projects on a timely basis
- Extensive knowledge of Microsoft Office, especially PowerPoint, Excel and Word
- Working knowledge of Morningstar, Lipper, FactSet, Bloomberg preferred
- Series 6 or 7 license preferred; must be capable of obtaining licensing within 120 days if requested
- An undergraduate degree required
- 3+ years of mutual fund industry experience preferred
17
Mutual Fund Financial Rptg & Administration Analyst Resume Examples & Samples
- 1-3 Years experience
- Strong technical understanding of accounting concepts
- Proactive and positive attitude, commitment to continuous learning, willing to challenge the status quo to improve processes
- Computer skills, including excel, word and software adaptability
18
Mutual Fund Financial Analyst Resume Examples & Samples
- Assist the Funds’ Treasurer in the oversight and maintenance of effective financial controls over aspects of fund accounting, fund administration and financial reporting for the RBC Funds
- Review mutual fund financial statements created by third-party fund accounting agent to ensure information is accurate, properly reflects the funds’ financial position and includes all disclosures required by GAAP and/or SEC regulations
- Resolve issues and respond to requests from external auditors during annual audits of the RBC Funds
- Provide support for the creation of materials for quarterly meetings of the RBC Funds’ Board of Trustees and its committees
- Perform analysis of mutual fund operating expense budgets, accruals and payments
- Assist in the review of various monthly, quarterly and annual regulatory filings for the RBC Funds, such as Forms N-SAR, N-CSR, N-Q, and 24f-2
- Support and provide back-up for Funds’ Treasurer as needed to ensure accurate valuation of the RBC Funds’ portfolio securities
- Oversee Blue Sky registration process to ensure the Funds are properly registered in all applicable states in which the Funds are being sold
- Preparation of various monthly Fund financial reports for distribution to internal business partners
- Interact with Funds’ third-party fund accountants and custodians to assist in operational set-up of new mutual funds
- An aggressive “can do” attitude combined with a sense of urgency and commitment to quality
- Effective problem identification, analytical and resolution skills
- Significant knowledge and/or experience in mutual fund accounting and administration and investments
19
Finance, Gsam Tax, Mutual Fund Tax Group, VP Resume Examples & Samples
- Provide subject matter expertise on Subchapter M of the Internal Revenue Code and the taxation of financial products, supporting other areas within GSAM including portfolio management, third party sales and distribution, private wealth management, and transfer agent
- Review U.S. federal, state and local income tax returns and federal excise tax returns, including associated tax provisions and workpapers
- Review of regulated investment company qualification tests
- Manage and maintain procedures and controls over GSAM’s tax compliance processes, interacting and working efficiently with fund administrators, internal fund accounting and external service providers
- Review financial statement disclosures
- Manage and train junior staff
- Participate in new fund launches, mergers, etc
- Prepare and review year-end shareholder tax reporting and 1099 information
- Minimum 8 years of mutual fund tax experience from a Big 4 public accounting firm or 12 years of mutual fund tax experience from private asset management firm
- A demonstrated ability to drive and manage complex tax compliance and reporting processes
- Excellent analytical/problem solving skills
- Strong excel skills, ability to work with large data sets
- Strong workpaper and documentation skills
- Ability to learn and apply new skills
20
Mutual Fund Operations Specialist Resume Examples & Samples
- Bachelor’s Degree or minimum of three to five years of work experience in the financial services industry
- Must be Series 7 or Series 99 licensed or the ability to obtain within 6 months of hire
- Proficiency and experience with Microsoft Office (Word, Excel, PowerPoint)
- Strong analytical skills with a focus on detail. Excellent written and verbal communications skills are a must
- Superior organizational skills with the ability to prioritize, monitor, and complete multiple tasks or projects, either independently or with a team
- Prioritizes workload in order to manage time effectively, complete work within deadlines and produce accurate results
- Ability to effectively relate to others and stay focused under pressure. Ability to function as a member of a team dedicated to quality customer service
21
Mutual Fund Financial Rptg & Administration AVP Resume Examples & Samples
- Solve-resolve more complex (transactional issues) for the team
- Responsible for associate development and coaching
- Provide direct, actionable feedback and celebrate successes
- Bachelor’s degree in accounting, finance or business-related area or equivalent work experience
- Analytical Skills: Ability to asses information and formulate decisions timely
- Customer Service Skills: Ability to meet and/or exceed customer expectations
22
Gcg-senior Mutual Fund Research Analyst Resume Examples & Samples
- Determining and monitoring best-in-class fund/strategies through in-depth quantitative and qualitative analysis
- Working with country businesses in selecting strategies for Onshore Country Focus Funds List
- Interview and interact with managers and senior management of Investment Management Companies (IMCs)
- Able to formulate and articulate his/her assessment of IMCs and their respective funds both verbally and in formal research reports
- Perform change management and provide timely updates/impact analysis to management and covered businesses on changes to IMCs and their funds
- Select mutual funds for fund-based model portfolios in Asia and work with members of Regional Wealth Management team to recommend strategies that align with Citi house views
- Time to time, to conduct fund due diligence on behalf of Citi Private Bank, Asia
- Manage the selection of ETFs for Citi Asia ETF Focus List which is utilized by Citi Consumer Bank in Asia
- Minimum of 8 years mutual fund industry experience
- Manager selection or Fund-of-Fund portfolio management experience is preferred
- Robust understanding of capital markets and investment cycles
- CFA qualifications are advantageous
- Bachelor’s degree from a recognized university
- Able to work in fast-paced environment, flexible and able to contribute as a team member
- Cooperative, supportive and responsible for duties assigned
- Able to interact successfully with peers and seniors across functional departments and even across different countries/regions
- Detailed and thorough in work
23
Mutual Fund Product Manager Resume Examples & Samples
- Degree holder, preferably in economics or finance
- Minimum 3-5 years of relevant experience
- Candidate with more experience would be considered to a senior role
- HKSI LE Papers 1, 7 and 8 or equivalent is preferred
- Sound knowledge in investment products preferably on mutual funds
- Experience on compiling product program is an advantage
- Good interpersonal skills and presentation skills
- To be able to deal with people at all levels
- Good command of written and spoken English and Chinese
- University Graduate in Business Management / Finance Discipline
24
CIB Ops-mutual Fund Specialist Resume Examples & Samples
- Bachelors Degree, preferably finance or business
- Strong verbal & written communication skills
- Ability to work independently & as part of a team
- Ability to work in a fast paced environment with definitive dedlines
- Ability to multi-task in that environment and hanfdle multiple items or projects at once, as well as the ability to set priorities among competing demands
- Strong Client service mindset
- Understanding of technology and system process flow
- Strong quality control mindset
- Knowledge of Microsft Office, WORD, EXCEL required
- Prior Mutual Funds experience a plus
25
Manager Mutual Fund Expenses Resume Examples & Samples
- Plan and monitor the production of funds’ expense budgets for an assigned group of expense types as well as perform review functions. Be able to analyze expense budgets by forecasting based on payments trends. Research budget changes and payment fluctuations each month
- Perform monthly reconciliation of the accrued expenses, payables and calculate expense ratios for an assigned group of mutual funds. Use analytical skills to identify potential accrual issues
- Monitor asset-based fees and expense caps/limitations to ensure accruals are set per the agreements
- Perform various types of expense pro-forma analysis related to contractual fee structure changes and product efforts such as new funds, mergers and liquidations
- Provide support to auditors during annual and semi-annual fund audits by addressing any questions related to expenses
- Review the accuracy of financial statements and prospectuses/SAIs related to expense data and disclosures and provide appropriate sign off
- Draft written procedures for Expense Group policies and identify areas where control procedures or operational aspects can be improved
- Assist senior management in the preparation of various ad hoc reports and projects such as mergers, liquidations, new funds/shares classes and changes to fee structures (pro-forma for different scenarios of fee changes)
- Train and manage effectively and provide guidance to expense analysts in all aspects of their jobs
- 5+ years of mutual fund accounting, fund administration or audit experience
- 1+ year of experience directly related to Mutual Fund Expenses functions
- 1+ year of managerial experience
- Must have a Bachelor's Degree in Accounting or Finance or similar
- Strong analytical skills with a high attention to detail and accuracy
- Proficiency in Excel is required and proficiency in Microsoft Office is preferred
- Ability to prioritize multiple tasks and can work independently as well as in a team environment. Need to be able to work effectively with other internal departments such as Legal, Financial Reporting, Transfer Agency, Product Management, Corporate Finance office
26
Am-prop Mutual Fund Associate Resume Examples & Samples
- Possible oversight of a small team
- Engage in internal projects and initiatives
- Control Monitoring and Enforcement
- Income Processing - payment of dividends/dividend reinvestment and capital gains including the disbursement of client dividends to accounts based on account setup
- Review, research and respond to daily inquiries from various other teams
- Ability to quickly become familiar with new tools and systems
- Deadline driven
- Strong communication skills - both written and oral
- Client focus mindset
27
Mutual Fund Lead Ops Specialist Resume Examples & Samples
- Maintain high level knowledge of LPL processes and system platforms as they relate to Mutual Funds and trade corrections. Mutual Fund Lead Ops Specialists are responsible for researching/reconciling trade related issues through online tools and direct coordination with Advisors, Fund companies, Transfer Agents, and internal/external business partners. Mutual Fund Lead Ops Specialists are also responsible for identifying, reporting, tracking and assisting with resolution of system and operational issues
- Ensure compliance with regulatory requirements and adapt to regulatory changes. Actively review procedures, identify areas of risk, and ensure controls are in place to mitigate risk. Ensure business continuity plans are in place to support system outages and assist with quarterly review of department business continuity plans
- Maintain knowledge of Mutual Funds and operational workflows, while also acting as primary contact for training new and existing team members on department processes and coordinating and communicating process changes
- Utilize knowledge of Mutual Funds and systems processes to increase operational efficiencies as necessary. Identify trends in trade rejects and work with various internal business partners to create edits on the front end to reduce the number of trade rejects from fund sponsors and transfer agents
- Provide exceptional customer service to Financial Advisors, clients, and internal/external business partners as it relates to Mutual Funds
- Minimum Experience: 3-5 years preferred
- Licenses: Series 7 & 63 preferred
28
Mutual Fund Product Manager Wealth Management Resume Examples & Samples
- 8-10 years of relevant working experience in a financial institution
- Min.3- 5 years of Wealth Management product experience with proven successful record
- Excellent Management and Leadership skills
- Innovative, resourceful, and has a keen eye for details
- Ability to work under pressure and well-organized
29
Director of Mutual Fund Tax Resume Examples & Samples
- Develop and continue to build out a database and metrics for non-standard portfolio investments, including asset backed securities, private placements and real-estate based assets
- Develop a process for tracking a wide variety of investment transactions across multiple categories(e.g. CLO’s, Structured Products, Promissory Notes)
- Pro-actively develop relationships with outside parties and perform independent research to ensure that information has been appropriately validated
- Assist and work with portfolio management, pricing and data integrity teams to validate cash flows and the investment terms of assets
- Assist with other projects on an as needed basis
- Service internally structured credit deals: liaise with front end deal team, legal, and external parties in order to assist with product onboarding, and provide Servicing level info to internal departments
- CPA or CAIA is strongly preferred
- Experience with Alternative Assets, Structured Products and Private Placements is required
- Trustee or Custodial Prime Brokerage experience is also highly desirable
- Willing to roll up their sleeves to perform any and all responsibilities to ensure success
- Works efficiently and effectively in both team and individual environments
30
Director of Mutual Fund Tax Resume Examples & Samples
- Direct all aspects of the 1940 Act Funds’ (“Funds”) tax matters
- Coordination and oversight of the 3rd party tax service provider utilized by the Funds
- Act as primary tax liaison with outside tax advisors, consultants, auditors, and fund administrators
- Keep current on emerging tax issues that impact the Funds, actively participate in the industry
- Coordinate with internal departments to ensure that the tax issues, policies and guidelines are understood and implemented correctly
- Develop a strong working relationship with portfolio management teams and pro-actively provide the teams with the necessary reporting to assist in the dividend / excise tax management of the Funds
- Ensure the appropriate level of documentation is created and maintained to support analyses performed, decisions made and conclusions reached
- Prepare/review tax disclosure for insertion in financial statements
- Assist in monitoring book/tax differences such as PFICS, wash sales, straddles, contingent debt, equity/debt determination, REITS, MLP’s etc
- Review adequacy of tax provisions on taxable MLP funds
- Perform tax research, advice and analysis for current and potential products (i.e. swaps, publically traded partnerships, derivatives, etc.) including keeping appraised of developments and industry issues; draft tax position memos as needed
- Perform FIN 48 analysis
- Review and maintain monthly and quarterly tax compliance, IRC diversification, income tests, etc
- Enhance/develop internal tax policies/procedures and automation solutions
- Assist in the training and development of portfolio administration staff on tax matters
- A minimum of 15 years of mutual fund taxation experience with at least 5 years in a management / leadership role
- Undergraduate degree in accounting and CPA certification is required. A masters in tax or LLM is desirable
- Financial services industry experience is highly preferred
- Demonstrated ability to research tax issues
- Knowledge of financial product taxation issues (e.g., taxation of derivatives, PFICs, REITs, Debt, etc)
- Ability to apply common sense understanding to specific tax matters
31
Research Analyst, Mutual Fund Due Diligence Resume Examples & Samples
- A passion for investing and a dedication to providing superior research
- Ability to think creatively about investments including due diligence, managers, and the markets in which they invest
- Experience doing due diligence and/or oversight on equity, fixed income and/or alternative strategies or mutual funds
- Solid analytical skills, good judgment, and a high tolerance for change
- Ability to drive to results while being able to re-prioritize as needed
- Discipline, organization, flexibility
- Ability to set and meet hard deadlines
- Unimpeachable ethical standards, with an innate ability to build trust and strong relationships
- Ability to cogently communicate research and investment content both orally and written to different audiences, including investment managers, advisors, executive management, and clients
- Emphasis on asking questions and challenging standard answers and analysis
- 3-5 years of experience in the financial services industry, ideally in a broker/dealer
- FINRA Series 7 and 66 license required (either have or be willing to obtain soon after hiring)
- An MBA or CFA is strongly preferred
32
Mutual Fund Sales Desk Analyst Resume Examples & Samples
- Conduct outbound call campaigns to drive focus opportunities
- Participate in mutual fund company meetings to become familiar with product solutions and product changes
- Series 7 and 66 preferred, required within 4 months of joining the desk
- Mutual fund product knowledge a plus
33
Mutual Fund Key Accounts Product Manager Resume Examples & Samples
- The Mutual Fund & Key Accounts Product Manager will work extensively with the sales organizations (PWM FAs, NIC and RMs), Consumer Global Wealth Management Team , Private Bank and 3rd Party Providers to develop, manage and education on products including: Mutual Funds (domestics & offshore), ETFs, UITs and 529s to ultimately drive revenue. Additionally, the Product Manager will be responsible for delivering Account Management service to the firm’s key asset management relationships
- Independently drive strategic plan for Mutual Fund, ETF, UIT and 529 Plans distribution through PWM, NIC and Citi Priority Segments
- Lead Mutual Fund prioritization pipeline for US consumer working with Due Diligence team and UMA product manager to manage current offering and drive platform additions – owning business case and IPR review process
- Serve as single point of contact for day- to-day relationship with mutual fund -3rd party asset managers- to maximize distribution support to PWM, NIC and RMs
- Manage sponsorship calendar and coordinate national and regional event participation and logistics
- Own responsibility for adhering to legal, compliance and regulatory standards for product set
- Partner with field organization to drive marketing initiatives and product launches
- The candidate should have a deep understanding for the following products; Mutual Funds (domestic and offshore), ETFs, UITs and 529 plans
- 5-10 years’ experience in Mutual Fund Industry
- Series 7 required
- College Degree Required, MBA Preferred
- Strategic thinker with experience in a global organization
- Strong relationship management skills and contacts at providers
- Analytical and modeling skills
- Pragmatic approaches to ensure resources are being directed appropriately
34
Money In-mutual Fund REP Inbound Resume Examples & Samples
- Strong financial market knowledge in order to provide informational solutions and advice to all our customers
- Ability to multitask and exhibit excellent attention to detail while consistently following established procedures and processing transactions
- An effective team player who enjoys taking an active and enthusiastic role in campaigns and achieving all business building initiatives
- Willing to participate in and contribute to all coaching activities
- Bilingualism (French/English), while not mandatory, is preferred
35
Mutual Fund Trader Resume Examples & Samples
- Provide exceptional customer service to Financial
- 3 to 5 years of financial services, preferably in
- Ability to work independently and within a group
36
Mutual Fund Income Analyst Resume Examples & Samples
- Working with our large “National Banks”
- Utilizing the operational platforms specific to the job role
- Researching and resolving client issues, and receive training in the ‘client experience’
- Coordinating with management on team projects
- Training and mentoring
- Providing offshore assistance
- Coordinating with conversions and de-conversions
- Assist with Training
37
Mutual Fund Valuation Team Lead Resume Examples & Samples
- Oversees daily processes of calculating and/or loading daily share prices, unit values and dividend/capital gain distributions into accounting and trading systems
- Coordinates staff efforts in researching and correcting trial balance and/or dividend payment discrepancies
- Involved in various departmental projects. This includes defining system requirements, overseeing new business conversions and leading efforts to streamline team processes
- Reviews and sometimes prepares various monthly, quarterly and/or daily financial and regulatory reports for internal and external clients
- Provides leadership in department deliverables and coordinates the work of less experienced staff including work distribution, establishment of deadlines, recruiting and training, setting objectives, conducting performance appraisals and recommending salary increases and promotions
- Maintains procedures and documentation for team. This includes responding to ad hoc and audit requests and ensuring that team processes comply with appropriate standards and regulations
- Bachelor’s degree in Accounting, Finance, related field, or equivalent experience
- Three years of experience in mutual fund operations preferred
- Advanced proficiency in MS Office, particularly Excel
- Must possess strong analytical/problem-solving, organizational, and written/verbal communication skills
- This position requires submission of fingerprints to FINRA
38
Mutual Fund Income Specialist Resume Examples & Samples
- Manage reporting requirements for clients as per the SLAs
- Monitor administrative policies and procedures
- Review and analysis of reports, statements, policies and procedures
- Act as a liaison between vendors, clients and/or other business units
- Support of client and team needs
- Perform effectively in a team environment
- Where required, train and mentor other team members
- Become proficient in business application tools
- Support business initiatives, including business continuity and disaster recovery
- Be able to function as an individual contributor and make independent decisions
- Obtain professional certifications where required
- Assume supervisory responsibilities in the absence of the supervisor
- Acquire system and technical knowledge required to resolve more complex tasks
- Be able to perform all jobs in the business unit
- Assume responsibilities or related projects
- Maintain current procedures and improve on process
39
Mutual Fund Trading Analyst Resume Examples & Samples
- Working with our community bank level clients in our TCO Mutual Fund Trading Team
- Interacting with internal and external clients, as well as teammates, on the telephone, in written correspondence and in person in a professional and accurate manner
- Preparing and processing error-free transactions accurately and in a timely manner, according to client instructions and according to SEI procedure
- Researching and resolving client issues
- Adhering to the client specific SLAs, as outlined
- Assisting with client implementations when necessary
- Knowledge and understanding of investment concepts and products
- Strong customer service skills needed
- Must be detail oriented and able to complete the workload in an accurate and timely manner
- Must be a fast learner and possess a desire to develop a thorough knowledge of the securities industry
- Ability to multi-task and work independently as well as in a team environment
- Ability to perform in a fast paced environment and meet time sensitive deadlines
- Proficiency in Microsoft Office Suite, especially Word, Excel and Outlook
- Excellent problem-solving, organization and analytical skills
- Ability to communicate effectively and professionally, both verbally and in writing
- Ability to work independently, as well as in a team, in an open floor environment
40
Mutual Fund Control Analyst Resume Examples & Samples
- Working with our community bank level clients
- Maintaining and updating data as needed and producing reports as required
- Participating in team projects
- Assisting with training (as needed)
- Providing offshore assistance (as needed)
- Working closely with both the Mutual Fund Income and Mutual Fund Trading teams
- Being involved with risk mitigation steps and implementations
41
Mutual Fund Income Analyst Resume Examples & Samples
- Mutual Fund Analyst II will be responsible for high level National clients
- Assist with Training and training development
- Act as SME (Subject Matter Expert) within the team
- 4+ years of industry experience or 2+ years TCO Operations experience preferred
- Organizational and analytical skills
- Ability to communicate effectively and professionally
42
Mutual Fund Oversight Resume Examples & Samples
- Leading by example: embrace the continuous evolution of the investment management industry and drive appropriate change both within the group and throughout Edward Jones
- Perform direct oversight of fund accounting, administration, reporting and controls as performed by outsourced service provider
- Review and provide input to all fund-related regulatory filings and participate in efforts to respond to regulatory requests and inquiries related to the funds
- Collaborate with cross functional teams to identify and resolve key business issues related to the funds
- Intellectual curiosity – Individual needs to have the drive to want to understand the "how & why" of what OLV and EDJ do
- A willingness to not only challenge the status quo but to provide an alternative and drive the change
- A collaborative mentality, a willingness & ability to impart knowledge and build relationship with others
- 6-8 years of mutual fund industry experience
43
Mutual Fund / Securities Control Liaison Resume Examples & Samples
- Expedite action items from automated critical and non-critical reports
- Cross train in different areas to expand knowledge base and to advance skills and proactively offer assistance to other areas when needed
- Adhere to specific quality call standards
- Perform special project assignments (e.g., data entry, outbound calls, research, special authorizations, etc.)
- Ability to type 30 wpm
- Excellent written and/or verbal communication skills
- Strong problem solving/analytical skills
- Stable work history
- Works well in a team
- Multi-tasker
- Adjusts quickly to change
44
Mutual Fund Liasion Operations Associate Resume Examples & Samples
- Ability to perform multiple tasks in a dynamic working environment with minimal supervision while providing excellent internal and external customer service
- Act as liaison between internal departments and the clients to ensure delivery of optimal service, client satisfaction, and retention
- Solicit new or amended agreements from Funds
- Negotiate the terms of agreements with the Mutual Fund companies
- Maintain existing Fund family relationships
- Identify and develop new Fund family relationships
- Manage all policies, procedures, and regulations on a fund family level and relay information to internal groups
- Create Fund Profiles based on agreements and negotiations with the Fund families
- Work in partnership with Fund families and Operations associates and leadership enhancing the growth of our business relationships
- Working knowledge of industry terminology, rules, regulations, best practices, and procedures
- Maintain and analyze Mutual Fund reporting to validate overall data integrity
- Perform review of mutual funds and respond to daily inquiries from Administrators and Operations personnel
- Review Fund requests and respond to inquiries within established deadlines
- Review and resolve escalated internal inquiries related to mutual funds
- Perform validation of assets and information gathering directly with the Funds for RFP’s for Sr. Management
- Validate assets and establish additional Fund relationships as necessary as related to conversions and other transfer related activities
- Perform ongoing review and cleanup of TrustFocus
- Identify appropriate updates required due to Fund notices, and relate changes to the effected Operations and Administrative areas
- Report operational changes to effected areas due to Fund notices
- Perform updates to TrustFocus in accordance with Fund notices
- Research and resolve Revenue rate compare exception
- Research and resolve exceptions and outages as identified in the Revenue Accrual No Receipt report
- Provide monthly and quarterly Compliance and/or Sales reporting externally to Fund families
- Research and communicate changes and trends that may impact company productivity
- Oversee special projects and other duties/assignments as necessary
- BS/BBA Finance/Accounting or comparable experience
- Mutual fund experience
- Strong proficiency in Microsoft Excel (Pivot Tables and VLOOKUP) and the Office Suite
- Aptitude for systems and detail
- Ability to organize and set priorities
- Teamwork orientation
- Trust experience a plus
- Ability to work effectively under tight deadline pressure
- Ability to think and act independently as well as judge when to involve superiors
45
Mutual Fund Operations Specialist Resume Examples & Samples
- Bachelor’s degree preferred and/or 2+ years of experience in a financial services operations role is a plus
- Proficiency and experience with Microsoft Office (Word, Excel, Outlook)
- Ability to handle multiple assignments; work under pressure and within deadlines to produce accurate, high-quality results
- Strong organizational skills with the ability to prioritize, monitor, and complete multiple tasks or projects, either independently or collaboratively within a team
- Strong written and verbal communication skills are a must, with the ability to effectively relate to work in a team-oriented setting
- Ability to stay focused under pressure and to prioritize workload in order to effectively manage time
- Proven reliability in performance
46
Entry Level Mutual Fund Representative Resume Examples & Samples
- Accurately evaluate, verify, and process routine service requests for purchases, redemptions, transfers, new account set ups, maintenance items that are requested by the customers
- Conducting research between multiple systems and projects
- Ability to type 30+WPM
47
Qdii Mutual Fund Product Manager Resume Examples & Samples
- Degree Holder
- Good business acumen with understanding of the Bank's systems and operations
- Strong analytical skill with strategic thinking
- Creative thinker and self-starter
- Able to work both independently and as a team player
- Product development and on-going product management
- Product P/L and financials for the Lending product line
- End-to-end management of the Lending product line, including process and systems support to front line and client experience
- Performance Tracker: Prepare and send out performance updates on a regular basis to keep clients updated on their investments
- Generating MIS reports : Initiate and implement client-centric improvements, such as consolidated statements improvement and timely updates on their investment
- Handle product and process queries
48
Senior Mutual Fund Revenue Administrator Resume Examples & Samples
- Perform quality assurance of invoices sent to mutual funds
- Research and contact fund companies for outstanding payments; report monthly status for management. Post adjustments and notes to fees where appropriate
- Perform all duties to process quarterly levelized compensation for institutional partners, and reconcile participant counts used for invoicing, meeting critical deadlines
- Evaluate all corrections and fee change impact to revenue sharing and fee disclosure
- Bachelor’s degree in Finance or Accounting may be considered in lieu of experience
- Detail oriented
- Ability to work within prescribed deadlines and in a team environment
- Strong organization, written and verbal communication skills
- Current FINRA Series 6 or ability to obtain within 90 days of hire is required
49
Senior Mutual Fund Revenue Administrator Resume Examples & Samples
- Process and post mutual fund fee payments, contacting the fund companies for back up as necessary
- Reconcile daily cash receipts; resolving any discrepancies
- Reconcile fee rate set up to relationship management records, produce client reporting, assist with audit inquires, etc
- Generate, quality control, and distribute all mutual fund fee invoices, maintain contacts and distribution lists
- One to two years of experience in mutual fund operations preferred
50
Mutual Fund Income Analyst Resume Examples & Samples
- Communicate effectively and professionally to clients, service partners and internal teams both in written and verbal communication
- Effectively coordinate, manage and complete multiple duties and assignments concurrently and within acceptable timelines
- Ability to interact and build effective working relationships with peers, management and clients
51
Mutual Fund Representative Resume Examples & Samples
- Accurately respond to callers by resolving and answering questions from shareholders, broker/dealers, third-party entities, institutions, and client fund groups
- Previous banking, financial services, retail, and/or customer service experience or exposure
- Excellent written and/or verbal communication skills along with a stable work history
- Proficient MS Office Skills
52
Mutual Fund Sales Desk Associate Resume Examples & Samples
- Conduct outbound call campaigns to drive Focus Opportunities
- Assist Financial Advisors in connecting with their local fund family representatives for additional assistance
- Regular service contact with assigned top Mutual Fund producers
- Create, deliver and review of Managed Asset Profile (MAP) reports, a practice management tool, with Financial Advisors
- Assist Financial Advisors in building their mutual fund book of business by educating and training them on the various products
- Some desk members will be assigned as the dedicated internal to one of the Mutual Fund Divisional Distribution Directors (DDD), assist the DDD with preparation for speaking engagements, scheduling meetings with fund family representatives, event coordination and other duties as the DDD may require
- Work collaboratively with team members by managing call volume while providing outstanding customer service
- Utilize contact management system effectively and efficiently
- Proficient in Microsoft Excel, Word and PowerPoint
- Mutual fund and/or annuity product knowledge a plus
53
Mutual Fund Product Management Supervisor Resume Examples & Samples
- The US NAV Oversight Product Management Vice President will lead and assist in all functions related to US Mutual Funds life cycle implementation, expense oversight, prospectus coordination, financial statement reviews, board reporting, custody oversight, and aspects related to product change management
- Conduct daily functions using appropriate controls in accordance with the Funds accounting and procedural policies
- Participate and lead in the coordination of a products life cycle implementation (fund launches, mergers and liquidations)
- Manage custodians and various internal departments involved in product management
- Train team members
- Oversee and manage liquidity facilities and daily compliance requirements
- 6 to10 years of equivalent work experience in the Mutual Fund Industry
- GAAP experience preferred
- Knowledge and/or production of board reporting preferred
- Vendor oversight required
- Knowledge of Mutual Fund expense budgeting and expense limitations
- Excellent computer and communications skills
54
Supervisor, Operations, Mutual Fund Trading Resume Examples & Samples
- Performs supervisory activities, including identifying performance problems and seeking guidance for remedial action; reviewing performance; and participating in interviewing and selecting staff
- Plans, assigns, monitors, reviews, evaluates and leads the work of associates operating in intermediate risk areas of the firm
- Coaches and mentors subordinates, identifies training needs and recommends development programs
- Assists in preparing and presenting operational budgets for assigned specialty and/or larger (intermediate) functional area
- Participates in establishing objectives and developing processes and procedures to ensure efficient and timely work flow with special regards to compliance and risk factors for the firm
- Performs periodic reporting on work progress, project completions and additional ad-hoc reporting as needed
- Ensures effective coordination occurs within assigned work group and with other work groups
- Concepts, principles and practices of assigned functional area
- Preparing operational budgets
- Establishing operational objectives
- Implementing processes and procedures for efficient and timely work flow
- Preparing management reports
- Coach and mentor others
- Balance conflicting resource and priority demands
- Maintain currency in assigned area of responsibility
- Read, interpret, analyze and apply information from job-related publications
- Incite enthusiasm and influence, motivate and persuade others to achieve desired outcomes
- Interpret and apply policies
- Organize, manage and track multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment
- Lead others in providing a high level of customer service
- Bachelor’s Degree in Business Administration and a minimum of four (4) years experience in operations, including two (2) years in a supervisory position in the in the financial services industry
55
Gsam Tax-mutual Fund Tax Group Resume Examples & Samples
- Preparation of Subchapter M and Excise tax provision workpapers
- Preparation of estimated and year end income and capital gain distributions
- Preparation of tax compliance including Section 851 and 817(h) diversification testing for GSAM proprietary and sub-advised mutual funds
- Utilize internal and external accounting systems to assist in the preparation of various tax compliance tasks
- Interact with other areas within GSAM including Fund Treasury, Legal, Transfer Agent, Portfolio Management, etc
- 1-4 years industry experience (Big 4 a plus)
- Knowledge of Subchapter M and Excise tax rules required for senior analyst position, and a plus for analyst position
- Strong computer skills, particularly excel and the ability to work with large data sets
56
Mutual Fund Operations Specialist Resume Examples & Samples
- Serve as the subject matter expert for the team. Resolve day to day issues or answer questions that come from team and internal and external business partners. Assist the Supervisor to coach and develop staff for Mutual Fund Operations. Provide guidance, training and motivation as necessary to develop staff. This person will be responsible for hiring, evaluating and counseling the team
- Responds to elevated client issues and makes decisions according to industry and regulatory policies and procedures. Identifies root causes and offers solutions to resolve the immediate problem as well as avoid future situations. Notifies internal partners or clients as needed based on the extent and scope of the problem. Understands and utilizes applicable resources and builds a network of contacts within SEI for assistance in handling client situations
- Monitors and audits functions performed by the team and controls for completion of account approvals, new accounts, maintenance requests, transfers, change of ownership and other functions. Assist the Supervisor in overseeing performance of daily Mutual Fund Operations functions and report generation of daily, weekly and monthly activities
- Proactively identifies trends and makes suggestions to improve operational effectiveness and the client experience. Sets measurable goals and examines ways to raise standards, improve quality, and improve overall performance of the department. Prepares and delivers ad hoc reporting, presentations, and training programs as needed
- Cultivate new and enhances existing relationships with Mutual Fund Operations internal and external business partners and clients. Keeps abreast of changing landscape within SPTC and in the industry to include functional thought leadership, industry best practices, and changes to organizational structure. Responds accordingly to changes in the business environment by proposing and implementing innovative solutions to keep pace with an evolving business climate and improve operational efficiency. Acts as a change agent; demonstrates active support for department initiatives
- Adheres to and possesses a strong understanding of SEI policies, Code of Ethics, departmental and processing procedures, and legal requirements
57
Mutual Fund / Securities Control Liaison Resume Examples & Samples
- Reconcile shares from the brokerage system to TA2000 and from the mutual fund omnibus position to TA2000
- Maintain client stock record
- Research and report out-of-balance conditions to affected departments
- Making correcting entries when applicable
- Detail oriented with a high level of accuracy
- Possesses a high degree of accountability
- Professional communication skills and strong interpersonal skills
- Proficient computer skills: Microsoft Word, Excel, and Outlook
- Possesses analytical characteristics
- Ability to work successfully independently as well as in a team environment
- Ability to manage multiple tasks successfully
- Possesses career growth aspirations
58
Business Analyst Mutual Fund Trading Platform Resume Examples & Samples
- Independently manages complex project tasks, leads interview, owns facilitation of discussions, and communications with impacted areas regarding project
- Works with business partners to understand business processes, process flows, business needs and analyze pain points, identify viable solutions, and ultimately implement enhancements
- Represents business owners and end users, and collaborating with technology and or vendors to meet a clearly identified “Business Need” which will benefit from a technology-based solution
- Advocate of efficient screen flow and ensuring that process flows match the way people actually work, creating useful systems that people want to work with, and work to guide the creation of intuitive and natural interfaces
- Responsible for providing project and business analysis expertise and support to the department and assist them in meeting their business objectives; bringing leadership, perspective, consistency of approach, and quality assurance to assigned projects
- Create presentation materials including Leadership project updates, workflow diagrams, and decision matrixes
- Analyzes complex business problems and issues using data and information from internal and external sources to provide insight to decision-makers
- Constructs recommendations and strategic/tactical plans based on business data and market knowledge
- Supports various project methodology business requirement development (e.g., RUP, Agile, etc.), defining acceptance criteria, and assisting in defining prioritization
- Creates and manages User Acceptance Testing plans and production checkout of releases
- Document platform features for internal and external purposes
- Training business users on new product features
59
Specialist Ops-mutual Fund Trading Clearing Resume Examples & Samples
- Monitor and work with clearing clients on processing trade uploads, rejects, and trade/dividend related questions in a fast paced customer service environment
- Research and resolve out of balances between Schwab, Fund companies, and Clearing Correspondents using various systems
- Accurately process manual trade request under strict time constraints
- Strong analytical, research, data entry and prioritization skills
- Prior experience providing top notch customer service to clients
- 3 years minimum experience in the securities, brokerage or financial services industry or equivalent (banking or customer service)
- Series 7 & 63 preferred
60
Senior Mutual Fund Trader Resume Examples & Samples
- Responsible for all functions of a mutual fund trader including providing exceptional customer service to FA's, their assistants, clients and LPL internal business partners as it relates to Mutual Fund, UIT and Precious Metals trading and trade corrections; accurately entering all trade orders, and maintaining knowledge of investment products, regulatory requirements and LPL systems
- Support fellow traders and management, by acting as primary point of contact for escalated issues. Collaborate with internal business partners to assist with executing trades, resolving escalations, and adapting to process changes. Assist with managing and directing daily and weekly workflow on the desk by monitoring phone queue coverage, assisting traders with processing, and assisting with managing project deadlines and deliverables. Act on behalf of department manager when manager is out of office and at managers discretion. Assist with establishing and supporting departmental goals. Attend management meetings and contribute to monthly staff meetings. Assist with performance management process by providing input on each traders goal setting and progress towards meeting the set goals
- Maintain high level knowledge of LPL processes and system platforms as they relate to Mutual Fund, UIT, and Precious Metals trading and trade corrections. Senior Traders are responsible for identifying, reporting, tracking and assisting with resolution of system and operational issues. Assume a lead role for coordinating system testing and assisting with system enhancements. Act as active participant in project meetings related to system enhancements and changes. Actively participate in yearly project request process
- Ensure compliance with regulatory requirements and adapt to regulatory changes. Be able to identify how regulatory changes will impact trade desk processing and assist with changing procedures to adapt to changes. Actively review procedures, identify areas of risk, and ensure controls are in place to mitigate risk. Ensure business continuity plans are in place to support system outages and assist with quarterly review of department business continuity plans
- Maintain knowledge about various products supported by the trade desk (Mutual Funds, UITs, and Precious Metals) and be able to explain the differences between the products to advisors, clients and internal business partners and fellow traders. Act as primary contact for training new and existing team members on department processes and coordinating and communicating process changes
- 5-7 years of Financial Services, preferably trading experience
- Bachelors Degree Required (focus in Finance or Economics preferred)
- Series 7, 63, and 24 Required
- Strong MS Office skills required. Beta, Morningstar, Siebel, and the ability to write and execute Excel Macros preferred
- Ability to handle fast-paced and deadline driven environment
- Knowledge of Mutual Fund, UIT, and Precious Metals Markets
- Knowledge of trading regulations and requirements
61
Mutual Fund Senior Accountant Resume Examples & Samples
- Review and analyze fund financial statements
- Coordinate sales data tracking and reporting
- Oversee fund reporting while working with vendors
- Prepare disclosures
- Prepare financial data for internal and external meetings
- Ad hoc projects as determined
62
Mutual Fund Internal Wholesaler Resume Examples & Samples
- Updating the External Wholesalers on daily sales, any large ticket items and tracking month-to-date and year-to-date sales
- Providing up-to-date information on our family of funds to Registered Representatives (“RR”) through proactive outbound calls and reactive inbound calls
- Ensure RR’s are informed of any changes in funds or any new products that become available
- Keep abreast of current and historical fund performance, portfolio compositions, dividends and distribution rates, etc
63
Mutual Fund Operations Senior Specialist Resume Examples & Samples
- Mutual Fund Trade Order Entry and Placement
- Trade Order Verification and Cash Settlement
- Pricing and reconciliation of Schwab's books and records,
- Stock and cash breaks research and resolution
- Attention to detail, and accuracy are basic expectations of the role
- Contact with internal and external business partners occurs daily
- Complex problem solving skills
- Provide coaching and direction to the team as needed
64
Specialist, Mutual Fund Financial Rprtng Resume Examples & Samples
- Review and coordinate to ensure all required filings are completed timely and accurately
- Review all filings for accuracy and completeness prior to filing
- Complete monthly income allocation process for Lincoln Investment Advisors Corp (LIAC)
- Prepare and analyze quarterly financial reporting for LIAC
- Act as Business Resource for the Fund Administration Teams within Separate Account Financial Operations. This includes assisting with issue resolution, special requests, process enhancements, projects, etc
- Assist with the preparation of and review of the Fund Administration Board Materials
- Maintain effective working relationships with internal and external business associates
- Works closely with management to recommend and implement process improvements, IT enhancements, and other added controls and efficiencies
- Facilitates and prioritizes problems resolution and manages daily work load
- Represent the interests of Separate Account Financial Operations by attending pertinent meetings
- Assures fund administration compliance with the Investment Company Act of 1940 as well as the Securities Acts of 1933 and 1934
- Maintains a working knowledge of strategic investment market activities and industry pronouncements and their impacts on the Funds as well as LNL
- Assists with the coordination, preparation, validation and review of the SEC financial data filings
- Review, analyze and monitor financial information for the Funds to insure integrity of financial systems and accuracy of data
- Research accounting guidance for newly developed products and company initiatives related to LVIP/LAT Funds
- Work closely with management to recommend and implement process improvements, enhance controls and efficiencies
- Stay current with technological innovations, updating administration capabilities and capacity in a cost effective and efficient fashion
- Other duties and tasks as assigned by management
- 1 - 3+ Years of accounting, financial reporting/analysis experience in mutual fund, insurance or investment accounting environment
- Mutual fund and investment knowledge preferred
- Working knowledge of general ledger and fund accounting systems
- Proficiency in Microsoft Office applications and Business Objects
- Candidate must have strong leadership skills, and excellent oral and written communication skills
- Must be technically savvy and have strong financial analysis skills
- Must be able to balance multiple priorities and to communicate with all levels of staff in the organization
65
Technical Director, Mutual Fund Technology Resume Examples & Samples
- Minimum of 5 years of experience as an architect in building complex, highly scalable and low latency applications
- Work closely with Enterprise Delivery Managers, Functional Solution Architects and with business teams to architect technology solutions to meet client needs
- Understanding complex problems easily and come up with simple solutions
- Lead technical requirements gathering sessions and producing technical requirements and design documents
- Manage the technical delivery of integrations, security, single-sign-on and application customizations
- Publishing and presenting the architecture to technology leaders and business executives
- Provide hands on expert level assistance to developers for technical issues
- Suggests alternative technical solutions to meet client requirements efficiently, and/or with greater reusability, and / or longer life
- Promotes and coordinates technical knowledge harvesting within the organization
- Defines, communicates and enforces design/coding standards
- Identifies reusable code required for our code library and ensures the high quality creation of the code
- Tracks and identifies new technologies to solve the business problems
66
Mutual Fund RFP Analyst Resume Examples & Samples
- Communicates effectively with colleagues
- Excellent organizational skills with strong attention to detail
- Strong work ethic with commitment to quality
- Ability to work on multiple high priority requests simultaneously
- Capacity to learn quickly and adapt to changing priorities
- Excels in a fast-paced environment while meeting deadlines and executing responsibilities with minimal errors
- Proficient in Microsoft Word, Excel and PowerPoint / ability to learn new programs and databases quickly
- Experience with creating and building processes and process improvement
- 2+ years of Mutual Fund experience preferred
- 1-2 years of RFP experience preferred
- FINRA series 6 license required within 6 months of hire date
67
Mutual Fund Trader Resume Examples & Samples
- Review and complete Hedge Fund Documentation
- Analyze alternative fund offering memorandum and subscription documentation for serviceability and risk qualifiers
- Manage client investments into Alternative Funds including hedge funds, private equity, venture capital, and real estate funds
- Facilitate all facets of the investment process including resolution of any post-execution road blocks including legal and compliance issues across 100+ client relationships
- Coordinate meetings with OGC, Funds/TA and client to resolve AML/Legal issues
- Communicate with Operations, Conversion Team and client to finalize plan and timeline for conversion projects
- Participate in and lead client/prospect meetings around hedge/alternative funds
- Organize and maintain client and fund company information (client profile, hedge fund subscription documents, PPMs, etc.)
- Respond to internal and external client inquiries. C
- Contact Fund Companies to ensure external accounts are set up properly
- Minimum 3 yrs of industry experience Knowledge of AML and KYC policies, previous work experience strongly preferred
- Ability to work successfully with internal and external clients and service providers in a team oriented environment
- Highly organized with superb communication skills
- Ability to multitask with competing priorities, under time sensitive deadlines
- Proficiency in Word, Excel, Lotus Notes and PowerPoint
- Series 7 license is required within 6 months of hire
68
Mutual Fund Associate Resume Examples & Samples
- Bachelor's degree in Finance or Accounting preferred
- Up to 2 years experience working within mutual fund financial reporting
- Knowledge of the Investment Company ACT of 1940 a plus
- Good communication skills, both oral and written
- Project management experience
- Strong analytical skills
- Strong Excel knowledge
69
Newton Mutual Fund Executive Resume Examples & Samples
- Assist team in the arrangement and preparation of appropriate Mutual Fund related forums/committees acting as secretary to any of these forums/committees as required
- Attend any Mutual Fund related forums/committees as appropriate
- Experience in a compliance, client service, operational, product management or a related role
- An understanding of general business structure and functions in asset management
- Good Microsoft Office skills in particular Excel
- IMC qualification or willingness to obtain the qualification
- LI-NEWT EFC:EMEA.AM
70
Mutual Fund Specialist Resume Examples & Samples
- Provide routine transaction processing services
- Provide timely and thorough responses to mutual fund shareholders, sales force and/or internal shareholder services team through various communication means
- Assist in the development and implementation of new work procedures and processes
- Represent the company in a professional manner that fosters a long-term relationship through education with shareholders and sales force
- Requires high school diploma or equivalent
- FINRA Series 6 or 7 licensing required within 6 months of hire
- If licensing not already obtained, must become a FINRA non-registered, fingerprint only associate which requires fingerprinting and a full background check
- Prefer 1-2 years of prior related work experience, preferably in the financial services industry
- Knowledge of the organization’s products and services preferred
- Excellent verbal and written communication, interpersonal, organization, planning, problem solving, prioritization, multi-tasking, mathematical, and time management skills necessary
- Requires a strong attention to detail and the ability to execute tasks with a high degree of accuracy
- Must be able to work independently and under pressure in a fast-paced work environment
- Requires basic computer skills and the ability to obtain knowledge of business unit software
- Must have basic 10-key calculator skills
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Mutual Fund Processing Specialist Resume Examples & Samples
- Minimum 1 year Mutual Fund experience preferred but not required
- Post-secondary education or high school diploma and equivalent business experience
- BA/BS in Business or Finance preferred, not required
- High level of accuracy, attention to detail, and strong organization skills
- Organized, able to multi-task and work in a fast-paced, constantly changing environment – both independently and as part of a team
- Flexible: willing to adjust schedule and work overtime as needed
- Maintain appropriate level of professionalism consistent with John Hancock
- Familiar with various PC functions including Windows, spreadsheets and Microsoft Office
- AWD, DST, and Image knowledge
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Director, Mutual Fund Research Resume Examples & Samples
- Demonstrates a commitment to creating an environment in which the mutual fund platform is managed in a manner consistent with the firm's core values – namely putting the interests of clients first
- Ensures that Raymond James’ mutual fund platform remains competitive with peers and remains up to date with evolving industry and regulatory environments
- Networks with industry peers to continually benchmark the Raymond James platform against industry standard
- Collaborates with mutual fund product manager to ensure mutual fund platform remains best in class
- Participates in onsite due diligence visits for prospective mutual fund products
- Collaborates with the mutual fund operations department to support processes and systems designed to streamline the client and advisor experience
- Leads the research analyst and product specialist teams responsible for educating advisors and clients, and maintains a team culture focusing on balanced education and best in class advisor service
- Develops annual department budget and manages department resources against budget
- Performs human resource management activities including, but not limited to, coaching and mentoring department associates, reviewing and assessing associates’ performance, interviewing and selecting staff, identifying performance problems, and seeking guidance for remedial action, and, in some cases, terminating underperforming associates
- Leads department planning, strategy, and productivity meetings
- Develops and reviews department processes and procedures to ensure efficient work flow and service quality
- Delivers presentations regarding department services at RJ broker/dealer meetings, in RJ branch offices, and at mutual fund industry conferences, as needed
- Participates in or leads internal and external events (committees, national and regional meetings, conferences, etc.). Participates as guest speaker as requested
- Directs assignment of research and/or marketing projects and associate travel. Approves related expenses for department associates
- Reviews due diligence information regarding open-end mutual funds and/or fund companies prior to executing a new selling agreement or adding new funds to an existing agreement
- Maintains active backlog of new mutual funds that are pending review
- Edits and approves written mutual fund research or marketing reports, due diligence, and white papers
- Represents Mutual Fund Research in recruiting “home office visits” and client “by invitation only” meetings
- Provides telephone and email support to RJ financial advisors regarding mutual fund industry, products, and companies
- Interprets, applies, and recommends changes to organizational policies and procedures
- Manages travel and business development expenses within budgeted amount
- Organizes, manages, and executes on objectives with minimal oversight, a strong attention to detail, a high level of professionalism, and with appropriate timeliness
- Meets and brainstorms with other key leaders in the firm to discuss best practices and cross-departmental coordination
- Concepts, practices, and procedures of mutual fund marketing and product management in a financial services/broker dealer environment
- Statistical mutual fund performance and risk measures including alpha, beta, standard deviation, Sharpe Ratio, downside/upside capture ratios, etc
- Business technologies and processes associated with mutual funds products
- Advanced knowledge of investment concepts, practices and procedures used in the securities industry regarding applicable legislation, compliance standards, policies and procedures within assigned business area
- Principles of banking and finance and securities industry operations including finance, accounting, budgeting, and cost control procedures
- Morningstar/Morningstar Direct systems
- Organizing, managing and tracking multiple detailed tasks and assignments with frequently changing priorities in a fast-paced work environment
- Industry knowledge, critical thinking, excellent verbal and written communication skills, collaborative spirit, and leadership by words, and more important, actions
- Excellent leadership skills to provide a high level of organizational development
- Cultivating and maintaining effective working relationships at all levels of the organization
- Outstanding oral and written communication skills
- Developing and implementing strategies and tactical plans across organizational lines
- Critical thinking and problem solving with limited supervisory guidance
- Performing mutual fund market research, identifying market segments, developing product specifications, and incorporating requirements into planning processes
- Developing and delivering presentations to small and large audiences
- Problem solving sufficient to effectively analyze, research and resolve inquiries and issues in a timely manner
- Basic database and technology concepts
- Analyzing business processes and identifying process improvement opportunities
- Demonstrate uncompromising adherence to ethical principles
- Represent the company in a highly professional manner
- Establish clear directions and priorities
- Multi-task, work in teams, self-motivate/take initiative, innovate, work independently, adapt, accept and lead change, meet deadlines
- Develop and maintain effective working relationships with team members, internal partners, and external parties
- Incite enthusiasm and influence, motivate, and persuade others to achieve desired outcomes
- Promote team cohesiveness, cooperation, and effectiveness
- Train, coach, mentor, and lead the work of others
- Plan, assign, monitor, review, and evaluate the work of others and lead high performance teams
- Interpret and apply policies and identify and recommend changes
- Prioritize and work concurrently on multiple assignments to meet conflicting deadlines in a fast-paced work environment
- Consistently evaluate and lead others in acting on areas of potential improvement
- Gather information, identify linkages and trends, and apply findings to assignments
- Demonstrate a level of competence with well-respected industry fund partners
- Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives and convince others to accept ideas or goals
- Bachelor’s Degree (B.A.) in business-related field and a minimum of five (5) years of progressively responsible marketing or product management experience with retail investment products
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Director, Mutual Fund Research Resume Examples & Samples
- Develops annual department budget and manages department resources against budget. Report significant deviations from plan
- Performs supervisory activities, including coaching and mentoring department associates, reviewing and assessing associates’ performance, interviewing and selecting staff, identifying performance problems and seeking guidance for remedial action, and, in some cases, terminating underperforming associates
- Leads department planning, strategy, and production meetings
- Develops and implement strategies across marketing and sales functions to support others in building and expanding financial services business
- Interacts with and directs mutual fund product providers regarding tactical sales and marketing plans/campaigns
- Participates in or lead internal and external events (committees, national and regional meetings, Mutual Funds Advisory Council, and conferences, etc.). As requested participates as guest speaker
- Directs assignment of research and/or marketing projects and travel. Approves related expenses for dept. associates
- Edits and approves written mutual fund research or marketing reports, due diligence and white papers
- Supports Home Office Visits and By Invitation Only meetings
- Provides telephone and email support to RJ financial advisors regarding mutual fund industry and companies
- Concepts, practices and procedures of mutual funds marketing and product management
- Statistical mutual fund performance and risk measures including alpha, beta, std. deviation, Sharpe Ratio, etc
- Performing mutual fund market research, identifying market segments, developing product specifications and incorporating requirements into planning processes
- Managing the dissemination of marketing and product communications
- Plan, assign, monitor, review and evaluate the work of others and lead high performance teams
- Bachelor’s Degree (B.A.) in business-related field and a minimum of ten (10) years of progressively responsible marketing or product management experience with retail investment products
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Mutual Fund Trade Analyst Resume Examples & Samples
- Basic processing and/or service activities specific to team function
- Reviewing, analyzing, and entering client information and transactions into multiple systems
- Setting up securities, general account level maintenance, and some level of client contact
- Respond to client inquiries in a timely, accurate and professional manner
- Working on special projects as needed
- Perform research & analysis of root cause conditions
- Implement solutions as assigned
- Interact effectively with multiple operational processing teams
- Maintaining the highest level of confidentiality, quality and privacy
- Manage a time-sensitive delivery schedule
- Interface with Operating units and business units, such as Reversals Team, Reconciliation Team, Corporate Actions/Income, and Treasury Management Team, as required to provide awareness of processing problems as they arise
- Submit trading orders in the market on the behalf of our clients both internal and external
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Mutual Fund Resume Examples & Samples
- Excellent listening and communication skills
- Strong computer skills with the ability to navigate multiple screens
- Ability to multitask in fast paced environment
- Previous customer service related experience
- Commitment to service excellence
- Availability to work 40 hours a week (a full 8 hour shift, Monday - Friday)
- Previous mutual fund, banking, or financial services experience or exposure
- Previous call center experience
- Technical experience a huge plus as the associate will be assisting with resolving account issues
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Lead Mutual Fund Resume Examples & Samples
- Accurately evaluate, verify, and process responses from fund sponsors and administrators to update brokerage records for clients
- Handle outreach via email and phone to Alternative Investment fund sponsors and administrators to obtain updated position balances and security pricing information. This outreach would also include obtaining trade activity, corporate actions, transfers, dividend posting, and Fair Market Value information for each security
- Internally: 1 year and Externally: 2 or more years of previous banking, financial services, and/or customer service experience in the financial industry or exposure
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Mutual Fund Admin Supv Resume Examples & Samples
- Ten or more years of experience in Mutual Fund Administration or related field, i.e., public accounting
- Three or more years of supervisory/managerial experience
- Advanced knowledge of operational issues involving Mutual Funds
- Considerable knowledge and understanding of legal, regulatory and accounting principles which directly affect the mutual fund industry and their clients
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Fund Financial Analyst for Mutual Fund Resume Examples & Samples
- Business performance reporting and financial statement preparation and analysis
- Assist in monthly, quarterly and annual close for individual funds
- Assist in the monthly fund investment reconciliations
- Bachelor's degree in Accounting, CPA preferred
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Senior Associate, Mutual Fund Tax Resume Examples & Samples
- Review of tax provision and distribution work papers for Regulated Investment Companies (RIC) including (but not limited to) the following: review Regulated Investment Company fiscal and excise tax provision work papers, review financial statement disclosures, and review annual book-to-tax adjustment analysis by examining the taxability of investment income/expenses, securities transactions, and complex derivatives including futures, options, and swaps; prepare income and capital estimates of RIC distributions
- Review disclosures included in semi-annual financial statements
- Review quarterly and annual IRC asset compliance testing
- A minimum of three years of experience of mutual fund tax
- BS/BA degree in accounting/finance or equivalent work experience
- Understanding of accounting and tax concepts, practices, and procedures is required
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Director, Mutual Fund Affiliate Finance Resume Examples & Samples
- CPA and/or MBA preferred
- 7+ years of financial services industry specific experience
- FINRA Series 27 - FinOp designation or willingness to obtain
