Now Hiring - Ultimus Fund Solutions - Financial Services Manager, Account Services in Omaha, NE

Full description of the position

Ultimus Fund Solutions is a dynamic company and a leading Fund Administrator, and we are seeking energetic candidates looking to start a new career and grow with our company. Ultimus has a strong, authentic, and fun corporate culture, and offers career development opportunities and flexible work arrangements.

SUMMARY
The Manager, Account Services oversees the Transfer Agency team and handles the development and performance of associates having direct interaction with clients, financial representatives, and vendors.

KEY COMPETENCIES
ACCOUNT SERVICES

• Primary focus will be on AML and oversight of direct held accounts.
• Initiate and participate in internal working groups; provide overview of and answers to meeting topics
• Perform a sweep of workflow on an as needed basis to ensure that all transactions are processed in a timely manner
• Interpret fund prospectus for each fund family and ensure processing is completed accordingly
• Write detailed procedures and processing instructions for processing team
• Authorize processing exceptions according to management guidelines
• Answer questions or find requested information for fund family contacts

TAX AND LEGAL

• Determine and interpret required legal documents for processing
• Prepare written legal correspondence using proper grammar and language content to effectively communicate complex issues
• Ensure compliance with SEC, NICSA, and FINRA regulations
• Interpret IRS regulations pertinent to retirement plans and tax reporting for all types of accounts
• Resolve and process IRS Tax Levies

BILLING AND APPROVALS

• Authorize Offsite Storage Vendor billing and reconciliation
• Authorize Keane billing and reconciliation Approve and submit the Keane uncashed file
• Approve complex Required Minimum Distribution (RMD) and Simple IRA annual mailings ensuring adherence to IRS guidelines
• Approve Escheatment money movement with Control
• Approve Escheatment paperwork (print, organize, review, obtain signature, notarize, scan, and mail)
• Approve all shareholder financial adjustments
• Authorizes processing exceptions according to management guidelines

PERSONNEL MANAGEMENT

• Manage 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
• Conduct one-on-one and team meetings with associates on a regular basis to discuss new procedures, problems, and issues
• Establish team and individual goals for department
• Foster performance of associates and the processes used by them; holds the associates accountable for their work

WORKING RELATIONSHIPS AND CONTACTS

• Daily contact with Transfer Agency executives and operating departments
• Frequent contact with fund advisor executives and associates
• Regular contact with financial brokerage representatives and advisors

May perform other duties as requested and assigned.

KNOWLEDGE, SKILLS, AND ABILITIES
KNOWLEDGE

• Financial services industry
• Retirement plans, mutual fund IRS regulations, and 529 plans
• Series 6 or 7 license required
• Microsoft Office software including Word, Excel, PowerPoint, Teams, and Outlook
• Adobe Acrobat

SKILLS

• Communication, organization, and administration
• Clerical
• Plan and delegate the work of others
• Assess performance of self and associates to make improvements or take corrective action
• Align associates with company values and goals
• Motivate and inspire others
• Plan and develop systems and procedures to improve operating quality and efficiency of department in accordance with company policies and procedures

ABILITIES

• Demonstrates personal integrity, responsibility, and accountability
• Effectively uses resources such as time and information
• 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
• Sets goals and identifies resources that are available for self-improvement and follows up
• Identifies need, arranges for, and obtains resources to accomplish individual and team 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

• Bachelors degree in business administration or related field required
• 10-12 years experience in client service or related field required
• 3-4 years of management and leadership experience preferred

Equivalent education and experience will be considered.

Ultimus is an equal opportunity employer and does not discriminate on the basis of the applicants or employees race, color, religion, national origin, ancestry, gender, sexual orientation, age, disability, veteran or military status, genetic information, citizenship or any other status entitled to protection under federal, state or local anti-discrimination laws. No questions on our employment application are intended to secure information that is to be used for impermissible purposes.