Manager, Account Services

SUMMARY The Manager, Account Services is responsible for the transfer agent operations team requiring direct interaction with clients, financial representatives, vendors, and associates. Additionally, this role will contribute to the development and performance of team members, the processes used by them, and holds team members accountable for their work.                      KEY ACCOUNTABILITIES ACCOUNT SERVICES Performs a sweep of workflow on an as needed basis to ensure that all transactions are processed in a timely manner. Interprets fund prospectus for each fund family and ensures processing is completed accordingly. Writes detailed procedures and processing instructions for processing team. Authorizes processing exceptions according to management guidelines. Manages escalated situations regarding difficult callers or clients. Answers questions or finds requested information for fund family contacts. TAX AND LEGAL Determines and interprets required legal documents for processing. Prepares written legal correspondence using proper grammar and language content to effectively communicate complex issues. Ensures compliance with SEC, NICSA, and FINRA regulations. Interprets IRS regulations pertinent to retirement plans and tax reporting for all types of accounts. Resolves and processes IRS Tax Levies. PERSONNEL MANAGEMENT Manages associates within department including, but not limited to, hiring, training, and developing associates, delegating work assignments, writing, and conducting performance appraisals, salary recommendations, coaching and counseling, and administering corrective actions. Conducts one-on-one and team meetings with associates on a regular basis to discuss new procedures, problems, and issues. Establishes team and individual goals for department. Fosters performance of associates and the processes used by them; holds the associates accountable for their work. WORKING RELATIONSHIPS Works with the AVP or VP, Transfer Agency Operations in one on one meetings to develop new and effective procedures and processes for the department. Daily contact with transfer agent executives and operating departments. Frequent contact with fund advisor executives and staff. Regular contact with financial brokerage representatives or advisors. Mentors associates through instruction, coaching, providing real-time on-the-job experiences, modeling effective practices, and advising on methods used. May perform other duties as required and assigned.   KNOWLEDGE, SKILLS, AND ABILITIES (KSA’s) KNOWLEDGE Retirement plans, mutual fund IRS regulations, and 529 plans. Microsoft Office Suite. Adobe Acrobat. SKILLS AND ABILITIES Aligns associates with company values and goals. Plans and delegates the work of others. Motivates and inspires others. Assesses performance of self and associates to make improvements or take corrective action. Plans and develops systems and procedures to improve operating quality and efficiency of department in accordance with company policies and procedures. 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.   EDUCATION AND EXPERIENCE Bachelor’s degree in business administration or related field. 5-8 years of experience in client service or related field. 1-2 years of management and leadership experience. Experience working within the financial services industry. Series 6 or 7 license. Equivalent education, experience, and KSA’s will be considered.