Shareholder Services Specialist II

Responsibilities

• Provide contact center and transfer agency functions by answering incoming calls, emails, and chats from shareholders and financial representatives.
• Answer complex questions regarding mutual funds, fund literature, performance reports, and regulatory documents.
• Input complex trades, including model rebalances, end-result exchanges, large dollar trades, and automated investment plans, into the recordkeeping system.
• Manage complex shareholder account maintenance such as account linking, account restrictions, and model updates.
• Perform quality control reviews on work completed by team members and assist with the onboarding of new department associates.
• Utilize compliance procedures, desk policies, and legal requirements to ensure all interactions meet industry standards.

Requirements

• Undergraduate degree in business administration, finance, or a related field.
• Series 6 or 7 license (or the ability to obtain one within 3 months of employment).
• 3-5 years of experience in client services or a related field.
• Proven experience within the financial services industry, such as a retirement services department, clearing firm, brokerage firm, or mutual fund department.
• Proficiency with Microsoft Office Suite and Adobe Acrobat.

Preferred Qualifications

• Strong knowledge of mutual funds and retirement plans.
• Exceptional customer service skills and professional phone etiquette.
• Ability to troubleshoot issues using creative and critical thinking skills.
• Strong multitasking, analytical, and organizational abilities.

About the Company

Ultimus provides specialized services to the investment management industry, offering expertise in transfer agency, fund accounting, and shareholder services.