Dealer Services Operations Specialist

The Dealer Services Operations Specialist is responsible for supporting all functions related to NSCC and Dealer operations.

• Monitors reports and files to ensure successful posting of transactions.
• Coordinates settlement of NSCC transactions with Financial Control Team.
• Resolves and communicates status of failed trades.
• Processes dividends.
• Runs commission payment jobs and supports broker dealer inquiries about commission payments.
• Supports dealer-related file transmissions.

• Monitors Blue Sky database against shareholder transaction activity; coordinates registrations with Blue Sky administrators, and updates shareholder recordkeeping system to keep permits current.
• Processes dealer, branch, and rep updates on shareholder recordkeeping system as requested by broker dealers.
• Coordinates dealer agreement changes.

• Retrieves and processes system-generated reports as requested by clients and broker dealers.
• Occasionally manipulates and filters data in Excel reports to accommodate unique client data requests or to efficiently address operational issues.

• Supports broker dealer contact with pricing issues, transaction settlement questions, trade corrections, and other miscellaneous operational items.
• Contact with members of team and internal teams regarding follow-up on inquiries, open workflow, etc.

May perform other duties as required and assigned.

• Bachelor’s degree in business administration or related field.
• Experience with in the mutual fund industry.

• Equivalent education and experience will be considered.

• Mutual fund transfer agent operations.
• Microsoft Office Suite.
• Adobe Acrobat.

• Troubleshoots issues utilizing creative and critical thinking skills.
• Multitasking, analytical, critical thinking, and organizational skills.
• Initiative-taking, strategic, and meticulous approaches with a strong commitment to quality, efficiency, and effectiveness.
• Demonstrates personal integrity, responsibility, and accountability.
• Effectively uses resources such as time and information in conjunction with associates.
• 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.
• Identifies needs, arranges for, and obtains resources to accomplish individual and department 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.