Mutual Fund Security Setup Specialist

Mutual Fund Security Setup Specialist

Requirements

• Knowledge of operations and systems of assigned functional area.
• Process flows within specific assigned functional area.
• Fundamental project management tools, techniques and procedures.
• General accounting procedures.
• Understanding of documentation for business process workflow and control points.
• Knowledge of investment concepts, practices and procedures used in the securities industry, principles of banking and finance and securities industry operations and/or financial markets and products, as required by assigned functional area.
• Regulations for specific assigned functional area.
• Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.
• Use appropriate interpersonal styles and communicate effectively, both orally and writing, with internal associates and external contacts at all levels.
• Demonstrate strong numerical aptitude and use critical thinking when solving operational problems.
• Provide technical guidance when required on expressing ideas, requesting actions and formulating plans or policies.
• Plan, organize, prioritize and oversee activities to efficiently meet business objectives.
• Develop appropriate plans or perform necessary actions based on recommendations and requirements.
• Analyze data trends for use in reports to help guide decision making.
• Uses an understanding of numerical concepts to perform mathematical operations such as report analysis.
• Select, deploy and get the best results from the most appropriate office system.
• Develop, monitor, interpret and understand policies and procedures, while making sure they match organizational strategies and objectives.

Responsibilities

• Reviews, interprets and applies incoming correspondences from various fund families related to the update and maintenance of mutual fund product characteristics as well as fund family rules and trading requirements.
• Performs a variety of operational procedures within the department, related to the update and maintenance of mutual fund product characteristics as well as fund family rules and requirements including but not limited to new fund set up, fund maintenance, fund trading restrictions and Corporate Actions (mergers, liquidations).
• Monitors and reviews the daily workflow to ensure the correct use of applications and compliance with established procedures.
• Prepares various forms of written communication in regards to fund updates to both internal and external audiences.
• Provide operational support by performing a range of routine activities using existing systems and protocols.
• Produce, update, and provide best practice support on a wide range of Microsoft documents, databases, and other departmental systems.
• Prepare moderately complex documents using a variety of applications for technology devices, such as standard office software. Also responsible for gathering and summarizing data for reports.
• Create a local document management system for an office or department.
• Build effective working relationships within the internal client organization and contribute to the management of the partnering relationship, delivering high-quality professional services within established routines or as part of an agreed project.
• Find the most effective ways to respond to routine functional inquiries. Involves following procedures and precedents.
• Use data management systems to access specific information as and when required.
• Develop knowledge and understanding of the organization’s policies and procedures and of relevant regulatory codes and codes of conduct to ensure own work adheres to those standards. Obtain authorization from a supervisor or manager for any exceptions from mandatory procedure.
• Develop own capabilities by participating in assessment and development planning activities as well as formal and informal training and coaching. Develop and maintain an understanding of relevant technology, external regulation, and industry best practices through ongoing education, attending conferences, and reading specialist media.

Preferred Qualifications

• General Experience – 13 months to 3 years