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Russell Tobin · 1 day ago

Mutual Fund Specialist

Milwaukee, WI

Contract

Onsite

Mid Level

$28/hr - $28/hr

Russell Tobin is seeking a Mutual Fund Specialist to manage complex client and shareholder transactions. The role involves processing mutual fund transactions, ensuring compliance with regulations, and mentoring new specialists.

ConsultingHuman ResourcesLegalStaffing Agency

Hiring Manager

Parth Dua

Responsibilities

Process a variety of complex client/shareholder mutual fund transactions, including new account set ups, purchases, redemptions, exchanges, and account maintenance within work standards for productivity and accuracy

Analyze and process advanced financial and non-financial specialized trades

Perform intricate analysis of:

Prospectus

Signature guarantees

Trust agreements

Qualified plan prototypes

Wills

Divorce decrees

Corporate resolutions

Actively ensure compliance with the U.S. Bank Code of Ethics and all:

Anti-Money Laundering (AML)

Bank Secrecy Act (BSA)

Information security

Suspicious activity reporting requirements, policies, and procedures

Act as a mentor, working with trainers, new specialists, and their managers to help individuals transition from the training room to their team

Participate in a culture of continuous improvement, risk-based thinking, and employee engagement driven by ISO 9001 certification

Qualification

Securities/mutual fund knowledgeTransaction processingRegulatory complianceMathematical skillsPC skillsCustomer service skillsReading comprehensionProblem resolutionCommunication skills

Required

Excellent oral and written communication, mathematical, PC, and customer service skills

Ability to perform all types of transactions with minimal supervision, while maintaining or exceeding internal/external quality and productivity goals

Ability to communicate with shareholders, internal departments, fund clients, and administrative agencies to resolve problems regarding shareholder requests and regulatory requirements

Two to four years post high school education or equivalent work experience

Preferred

Working knowledge of the securities/mutual fund industry, terminology, rules, regulations, practices, and procedures gained through industry experience or post-secondary education

Excellent oral and written communication, mathematical, PC, and customer service skills

Ability to collect, interpret, and apply diverse client/fund information and regulatory guidelines

Strong reading comprehension skills to effectively interpret shareholder requests and legal documents

Ability to perform all types of transactions with minimal supervision, while maintaining or exceeding internal/external quality and productivity goals

Ability to communicate with shareholders, internal departments, fund clients, and administrative agencies to resolve problems regarding shareholder requests and regulatory requirements