Account Services Manager

This is a fully remote position, open to applicants in United States.

📋 Description

• Supervise the Transfer Agent Operations Team while engaging with clients, financial representatives, vendors, and team members.

• Ensure the timely execution of transactions by managing workflow effectively.

• Analyze fund prospectuses to guarantee accurate processing.

• Create procedures and guidelines for the processing team.

• Approve processing exceptions in accordance with management protocols.

• Provide information and respond to inquiries from fund family contacts.

• Identify and interpret necessary legal documents for processing tasks.

• Ensure adherence to SEC, NICSA, and FINRA regulations.

• Interpret IRS regulations related to retirement plans and tax documentation.

• Address and process IRS Tax Levies.

• Manage department personnel, including recruitment, training, development, delegation, performance evaluations, salary suggestions, coaching, counseling, and corrective measures.

• Facilitate regular one-on-one and team meetings.

• Set team and individual departmental objectives.

• Hold team members accountable for their responsibilities and encourage performance improvement.

• Mentor team members through guidance, coaching, practical experiences, and modeling best practices.

• Maintain regular communication with fund advisor executives and financial brokerage representatives.

• Handle escalated issues with challenging callers or clients.

• Collaborate with Transfer Agency Operations Leadership to formulate new procedures.

• Perform additional duties as necessary and assigned.

⛳️ Requirements

• A bachelor's degree in business administration or a related discipline.

• More than 6 years of experience in client services or a similar field.

• 1–2 years of experience in management and leadership roles.

• Experience in the financial services sector.

• Possession of a Series 6 or 7 license.

• Equivalent education and experience will be taken into account.

• Familiarity with operational standards, including SEC, IRS, and prospectus regulations.

• Understanding of retirement products such as IRA, SIMPLE IRA, and other plans.

• Expertise in mutual funds and alternative investment products.

• Proficient in Microsoft Office Suite.

• Skilled in Adobe Acrobat.

• Strong leadership, delegation, coaching, and personnel-management abilities.

• Capability to plan and develop systems and procedures to enhance quality and efficiency.

• Strong troubleshooting, creative thinking, critical thinking, multitasking, analytical, and organizational skills.

• A robust commitment to quality, efficiency, and effectiveness.

• Personal integrity, responsibility, and accountability.

• Excellent written and verbal communication skills.

• Ability to build effective working relationships with colleagues and clients.

• Flexibility to adjust priorities and deadlines in response to changing circumstances and challenges.

🏝️ Benefits

• Competitive salary and annual bonus opportunities.

• Comprehensive health, dental, and vision insurance.

• Retirement savings plan with company match.

• Generous paid time off and holiday schedule.

• Opportunities for professional development and continuing education.