Job Description

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

KEY ACCOUNTABILITIES
OPERATIONAL DUTIES
• 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.
• Assists in building process documentation.
SYSTEM AND DATABASE DUTIES
• 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.
REPORTING
• 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.
WORKING RELATIONSHIPS
• Mentors associates through instruction, coaching, providing real-time on-the-job experiences, modeling effective practices, and advising on methods used.
• 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.

EDUCATION AND EXPERIENCE
• Bachelor’s degree in business administration or related field.
• 2-4 years of mutual fund industry experience.
KNOWLEDGE
• Shareholder recordkeeping system and procedures.
• Mutual fund Transfer Agent Operations.
• Microsoft Office Suite.
• Adobe Acrobat.
SKILLS AND ABILITIES
• Discerns client priorities effectively and lead stakeholders through issue analysis and resolution.
• Aligns associates with company values and goals.
• Plans and delegates the work of others.
• Motivates and inspires others.
• Assesses the performance of self and associates to make improvements or take corrective action.
• Plans and develops systems and procedures to improve operating quality and efficiency of department in accordance with company policies and procedures.
• 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.
Equivalent education, experience, and KSA’s will be considered.

Ultimus is an equal opportunity employer and does not discriminate on the basis of the applicant’s or employee’s race, color, religion, national origin, ancestry, gender, sexual orientation, age, disability, veteran or military status, genetic information, citizenship or any other status entitled to protection under federal, state or local anti-discrimination laws. No questions on our employment application are intended to secure information that is to be used for impermissible purposes.