Senior Mutual Fund Operations Manager recruitment

Department Description:
The Mutual Fund Operations department is responsible for the support and oversight of the Mutual Funds and 529 plans. The group is comprised of two teams who are responsible for supporting both internal (internal sales desk, National Accounts and IODC relationship managers) and external clients (Intermediaries back offices). In addition the department provides operational oversight on key processes such as corporate action events, Fund launches, liquidations, mergers, anti-market timing and large trade order notification to our sub-advisers.  The Department works closely with our Transfer Agent and provides oversight on Transfer Agent Functions

General Job Description:
This is a senior position within the firm and will report directly to the Managing Director and Head of Mutual Funds Operations. The position will require the individual to manage a team of 9, with 2 direct reports. They will assist the Managing Director in the day to day oversight of our transfer agency and other vendors that are contracted to support our business.

Responsibilities:
• Provide leadership for the Mutual Fund Operations team.
• Oversight of the transfer agent to insure that all service levels are met and that quality service is being delivered to our customers, including shareholders, financial advisors and intermediary back offices 
• Work closely with product team in support of fund and 529 initiatives.
• Oversight of all key projects related to process improvements and cost savings.
• Serve as a key contact for the department in support of issues and initiatives from our internal sales desk and National Accounts.
• Ensure compliance with regulatory procedures
• Work closely with our Legal and Compliance Department on various agreements/contracts and regulatory matters

Qualifications:
• 10-15 years in the Mutual Fund industry with 7-10 years experience in operations
• College Degree or equivalent years of experience
• Series 7 24
• Knowledge of the National Securities Clearing Corporation (NSCC) and the services they offer
• Knowledge and experience with Transfer Agency related work
• Strong knowledge of Mutual Funds including share classes,  breakpoints, service options, and prospectus requirements
• Strong Knowledge of 12B-1 payment process
• Experience in managing service providers, particularly transfer agents
• Strong Knowledge of Mutual Fund Regulatory requirements including Anti Money Laundering, Anti Market Timing, Customer Identification Process
• Strong Project Management experience