Associate, Operations, Reporting

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

📋 Description

• Manage subscriptions and closings by reviewing subscription documents and following up on any incomplete (NIGO) paperwork.

• Handle transfers, redemptions, and account maintenance tasks.

• Calculate and prepare distributions, including payment files and investor notifications, for approval from the senior account manager.

• Upload statements and K-1s, communicate with investors, and maintain DTCC AIP records.

• Respond to routine inquiries from investors and financial advisors via calls and emails within the required turnaround times.

• Escalate complex or sensitive issues to the account manager as needed.

• Provide backup support to account managers to ensure uninterrupted client service.

• Gather, reconcile, and prepare securityholder data for regulatory and tax documentation, including Form TA-2, 1099s, escheatment, and lost securityholder investigations.

• Assist with data conversions when onboarding new clients from previous transfer agents.

• Maintain clean and audit-ready securityholder records while flagging exceptions.

• Document errors and turnaround times for review.

• Create and update procedures and checklists.

• Identify repetitive manual tasks and contribute to their automation on the platform.

• Utilize AI tools such as Claude and Copilot to enhance efficiency in routine tasks.

⛳️ Requirements

• 2–4 years of experience in transfer agent roles, fund administration, or securities operations.

• Practical experience with subscriptions, transfers, distributions, or investor servicing.

• Proficient in Excel, including reconciliations, lookups, and handling large data sets.

• Detail-oriented, ensuring accuracy with numbers and records while checking your own work.

• Ability to communicate clearly and professionally with investors, advisors, and colleagues.

• Capable of taking direction and working independently once familiar with processes.

• Experience with private funds, REITs, or other alternative investments is preferred.

• Familiarity with transfer agent filings such as Form TA-2, 1099s, and escheatment is preferred.

• Knowledge of SEC transfer agent regulations, including Rule 17Ad, is preferred.

• Experience with Microsoft Dynamics or a similar CRM system is preferred.

• Comfortable utilizing AI productivity tools is preferred.

🏝️ Benefits

• Flexibility to work remotely (Dallas-Area or Eastern Time-Zone Preferred).

• Comprehensive health benefits.

• Retirement benefits.