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Ultimus Fund Solutions · 1 month ago

Shareholder Services Specialist II

8480 E Orchard Rd, Greenwood Village, CO 80111, USA

Full-time

Onsite

Mid Level

3+ years exp

Ultimus Fund Solutions is a company specializing in transfer agency services. The Shareholder Services Specialist II is responsible for providing various contact center and transfer agency functions, requiring in-depth mutual fund knowledge and direct interaction with shareholders and financial representatives.

ConsultingFinanceFinancial ServicesInformation Technology

Responsibilities

Answers incoming call, email, and chat interactions

Initiates outgoing call interactions

Answers incoming email and chat interactions

Answers questions regarding existing mutual funds serviced. Knowledge obtained from mutual fund websites, fund literature, or performance reports and regulatory documents will be utilized to answer questions

Answers questions regarding existing mutual fund shareholder accounts. Knowledge obtained from the transfer agent recordkeeping system will be utilized to answer questions

Inputs complex trades such as model rebalances, end-result exchanges, large dollar trades, automated investment plans, systematic withdrawals, etc. into a recordkeeping system

Inputs complex shareholder account maintenance such as account linking, account restrictions, model updates, etc., into recordkeeping system

Completes quality control reviews on work performed by members of the team

Assists with onboarding of new department associates

Learns and utilizes compliance procedures, desk policies and legal requirements, Fund Knowledge Base, voice communication platform, transfer agent recordkeeping and workflow system, call performance standards and guidelines, and online portals

Daily contact with shareholders, financial representatives, broker-dealer firms, and fund companies

Daily contact with members of team and internal departments regarding follow-up inquiries, open workflow, collateral orders, etc

Qualification

Mutual funds knowledgeClient services experienceSeries 67 licenseMicrosoft Office SuiteAdobe AcrobatCustomer service skillsAnalytical skillsOrganizational skillsCommunication skillsProblem-solving skills

Required

Undergraduate degree in business administration, finance, or related area

Series 6 or 7 license or ability to obtain within 3 months of employment

3-5 years of experience in client services or related field

Experience within the back-office of a retirement services department, clearing firm, brokerage firm, mutual fund department, or within the financial services industry

Mutual funds and retirement plans

Microsoft Office Suite

Adobe Acrobat

Provides exceptional customer service skills using proper phone etiquette

Comprehends, retains, and explain services, company policies, and legal requirements to shareholders and financial representatives

Troubleshoots issues utilizing creative and critical thinking skills

Multitasking, analytical, and organizational skills

Initiative-taking, strategic, and meticulous approaches with a strong commitment to quality, efficiency, and effectiveness

Demonstrates personal integrity, responsibility, and accountability

Effectively uses resources such as time and information in conjunction with associates

Participates in solving problems and making decisions

Presents and expresses ideas and information, written and oral, clearly, and concisely

Actively listens to others to achieve understanding and supports an open exchange of ideas and information

Identifies needs, arranges for, and obtains resources to accomplish individual and department goals

Establishes and develops effective working relationships with associates and clientele during both favorable and unfavorable situations

Modifies team and individual priorities and deadlines in response to added information, changing conditions, or unexpected obstacles and ensures completion