Manager, Account Services
About this role
Manager, Account Services
The Manager, Account Services oversees the Transfer Agent Operations Team, interacting directly with clients, financial representatives, vendors, and associates. Additionally, this role is pivotal in developing team members, refining processes, and ensuring accountability.
Key Accountabilities
- Ensures timely processing of all transactions through workflow management.
- Interprets fund prospectuses and ensure accurate processing.
- Develops detailed procedures and instructions for the processing team.
- Authorizes processing exceptions per management guidelines.
- Provides information and answer questions for fund family contacts.
- Determines and interprets required legal documents for processing.
- Ensures compliance with SEC, NICSA, and FINRA regulations.
- Interprets IRS regulations for retirement plans and tax reporting.
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