Assistant Manager, Shareholder Services

SUMMARY

The Assistant Manager, Shareholder Services oversees the Transfer Agent Contact Center team of Ultimus Fund Solutions in conjunction with the Manager, AVP, and VP, Shareholder Services. Additionally, this position role will require high level interaction with shareholders, fund clients, financial representatives, vendors, team members and department management.

KEY ACCOUNTABILITIES

SHAREHOLDER AND FINANCIAL REPRESENTATIVE SUPPORT

• Coordinates the day-to-day tasks of the Shareholder Services group.
• Assigns, monitors, and reviews progress and accuracy of work, direct efforts and provides technical guidance on more complex issues.
• Provides associates performance data to manager level, as required.
• Communicates changes in procedures and documents, as required.
• Oversees the call quality program.
• Monitors and distributes contact center metrics.
• Department liaison for Knowledge Management System.
• Manages escalated calls.
• Participates in new client onboarding calls.
• Authorizes procedural exceptions according to management guidelines.
• Interprets fund prospectuses to ensure adherence to stated requirements.
• Ensures adherence to transfer agent compliance manual, SEC, FINRA, and IRS regulations.
• Monitors calls received via telephone call audit scorecard. Scores calls versus defined performance areas as it relates to service and etiquette standards.
• Assists with semi-annual audit preparation and call recording retrieval.
• Monitors and modifies team participation within the Shareholder Services voice communication platform.

• Works with the department manager of Shareholder Services to develop new procedures and processes.
• Monitors and updates information contained within Knowledge Management system.
• Promotes new learning.
• Works on the business unit to maintain a forward-looking presence.

• Mentors co-workers through instruction, coaching, providing real-time on-the-job experiences, modeling effective practices, and advising on methods used.
• Works closely with the department manager to set department goals.
• Provides training to shareholder service team on department workflow processes and performs review on work to ensure adherence to department guidelines.
• Participates in associate job interviews for new team members as requested.
• Assists with the population and review of data within Fund Knowledge Base.
• Integrates call performance standards and guidelines throughout each call.
• Uses technical knowledge to assist team with various system issues.

• 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.

• Daily contact with shareholders, broker-dealer firms, and fund companies regarding general account-related inquiries.
• Daily contact with team, internal teams, compliance and departments regarding follow-up inquiries, procedural questions, etc.
• Frequent contact with vendors and external representatives of the fund regarding client experience, issue clarification, exchange of information, etc.

• A bachelor's degree in business administration, finance, or related area.
• Series 6 or 7 license.
• 7+ 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.

• Expert status regarding online shareholder portal.
• Voice communication platform.
• Transfer agent recordkeeping and workflow system.
• Compliance procedures, desk policies, and legal requirements
• State specific forms and documents.
• Call performance standards and guidelines.
• Mutual funds and retirement plans.
• Microsoft Office Suite.
• Adobe Acrobat.

• Comprehends, retains, and explains services, company policies, strategies, and procedures to shareholders and financial representatives.
• Provides excellent customer service to all callers using proper phone etiquette.
• Ability to comprehend, retain and explain services, company policies and legal requirements to shareholders and financial representatives.
• 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, problem-solving, 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.