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Sr Mutual Fund Account Services Support Associate

Company: Raymond James Financial, Inc.
Location: Memphis
Posted on: February 16, 2020

Job Description:


Description

Job Summary:

Under limited supervision, will apply comprehensive knowledge of mutual fund position maintenance. Will independently resolve and/or assist others with both basic and intermediate issues involving account networking or trails and commissions requests. Will proactively scrutinize for monetary, reputational or regulatory risk situations. Trains newer associates and serves as a resource to others in resolving complex problems and issues. May participate in defined work or projects of moderate scope and complexity.

Essential Duties and Responsibilities:

--- Independently processes and reviews moderately complex issues, analyzing and interpreting data to determine appropriate corrective action.
--- Answers moderately complex calls and questions on operational topics and account maintenance.
--- Utilizes various intermediate reports and departmental databases as well as 3rd party applications.
--- Retains ownership and follows through on calls received from internal/external customers and fund companies on issues or questions involving moderate operational topics and account maintenance.
--- Provides inbox and functional support to less experienced associates.
--- Heavily contributes to departmental projects, documentation, functional analysis and testing as needed.
--- Assists with establishing and enforcing departmental policies and procedures.
--- Monitors reports related to moderately complex maintenance issues; notifying advisors on actions concerning client positions.
--- Understands client needs, identifies root causes of more complex problems, and implements pragmatic solutions.
--- Assists in reviewing lower level associates work for accuracy and completeness.
--- Assists associates with proper recordkeeping/note taking practices to ensure all advisor/client requests are completed in a timely fashion.
--- Assists other areas of the department with various functions when volume is high and/or staffing levels are low
--- Works with management team to analyze and report trends which will aide in streamlining processing procedures to help improve workflows without hindering service levels provided by the department.
--- Leads departmental training as needed, as well as act as lead person in group for technical problem resolution.
--- Actively participates in intermediate User Agreement Testing (UAT) for systems and new process implementation. Involved in all aspects of testing, including internal audit, troubleshooting and suggested solutions.
--- Travels to the RJA Operating Center in Memphis, Tennessee if deemed necessary in the event of a BCP (Business Continuity Plan) situation involving the St Petersburg campus or vice versa.

Qualifications

Knowledge, Skills, and Abilities:

Knowledge of:

--- Intermediate investment concepts, practices, procedures and industry regulations related to Mutual Funds.
--- Intermediate mathematical skills including addition, subtraction, multiplication, division, percentages, fractions, averages and balancing sufficient to complete job functions.
--- Principles and practices of customer relations and communications.
--- Excel, Word, Outlook and other applications as needed.
--- MS Office sufficient to create letters, documents and send emails.

Skill in:

--- Identifying financial events that affect transfers/balancing.
--- Reconciling and correcting commission discrepancies.
--- Organization and time management sufficient to prioritize workload, handle multiple tasks, and meet critical deadlines.

Ability to:

--- Perform basic to intermediate levels of researches, analyzes and issue resolution.
--- Interpret and apply policies and identify and recommend changes as appropriate.
--- Anticipate potential problems and takes action to prevent them.
--- Proactively identify and act on opportunities to perform tasks outside of one's area of responsibility to assist the team or the department.
--- Communicate effectively, both orally and in writing with associates, and internal and external customers.
--- Work well under pressure on multiple tasks concurrently.
--- Ability to meet daily deadlines with frequent work/volume fluctuations.
--- Work independently, with limited direction as well as collaboratively within a team environment.

Educational/Previous Experience Requirements:

--- Associate's Degree and a minimum of two (2) to five (5) years of experience in the financial services industry.
-or-
--- Any equivalent combination of education, experience and/or training approved by Human Resources.

Licenses/Certifications:

--- None required

#LI-NG


Knowledge, Skills, and Abilities:

Knowledge of:

--- Intermediate investment concepts, practices, procedures and industry regulations related to Mutual Funds.
--- Intermediate mathematical skills including addition, subtraction, multiplication, division, percentages, fractions, averages and balancing sufficient to complete job functions.
--- Principles and practices of customer relations and communications.
--- Excel, Word, Outlook and other applications as needed.
--- MS Office sufficient to create letters, documents and send emails.

Skill in:

--- Identifying financial events that affect transfers/balancing.
--- Reconciling and correcting commission discrepancies.
--- Organization and time management sufficient to prioritize workload, handle multiple tasks, and meet critical deadlines.

Ability to:

--- Perform basic to intermediate levels of researches, analyzes and issue resolution.
--- Interpret and apply policies and identify and recommend changes as appropriate.
--- Anticipate potential problems and takes action to prevent them.
--- Proactively identify and act on opportunities to perform tasks outside of one's area of responsibility to assist the team or the department.
--- Communicate effectively, both orally and in writing with associates, and internal and external customers.
--- Work well under pressure on multiple tasks concurrently.
--- Ability to meet daily deadlines with frequent work/volume fluctuations.
--- Work independently, with limited direction as well as collaboratively within a team environment.

Educational/Previous Experience Requirements:

--- Associate's Degree and a minimum of two (2) to five (5) years of experience in the financial services industry.
-or-
--- Any equivalent combination of education, experience and/or training approved by Human Resources.

Licenses/Certifications:

--- None required

#LI-NG

Keywords: Raymond James Financial, Inc., Memphis , Sr Mutual Fund Account Services Support Associate, Other , Memphis, Tennessee

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