Transfer Agency Adjustment Processing Associate recruitment

I.
Summary of ResponsibilitiesProcess shareholder trades and adjustments with a high level of accuracy.
Review gain/loss calculations on adjustments before processing and alert Manager of high-risk transactions.
Inputs quality control data into tracking system and distribute resulting reports.
Receive, review, and input mutual fund transactions in the company's transfer agent system.II.
Position Responsibilities
Ensures the same day and accurate completion of trades in the company's transfer agent system.
Ensures all failed trades and system rejected trades are reconciled each morning by required deadlines to allow Cash Control to report to Fund Accounting to minimize financial exposure to the fund.
Ensures all interface files are balanced and settled prior to their deadlines.
Complies with USA PATRIOT ACT by enforcing the Anti-Money Laundering (AML) policies for each Fund Family for fraud detection and prevention by participating in AML meetings, external seminars, and internal training classes.
Monitors and maintains adjustments to meet the goal of less than 1% o total financial transactions.
This is accomplished by assigning error and department codes for management reports in order to provide feedback to processing areas.
Ensures that all financial and non-financial transaction processing complies with accounting and regulatory controls and SEC/NASD requirements.
Ensures proper authorization is obtained for each adjustment transaction.
Performs other duties as instructed by manager.

Qualifications
I.
Selection Criteria
Proven knowledge of account resolution as it relates to the financial services industry (i.e. dividend and capital gain impact, tax reporting impact, gain/loss tracking and billing functions).
Cite examples of organizational skills and demonstrated experience maintaining a calm and professional demeanor when handling demanding situations.
Demonstrated experience managing multiple tasks and priorities to meet deadlines.
Demonstrated excellent verbal and written communication skills with the ability to convey information to internal and external customers in a clear, focused and concise manner.
Proven experience analyzing and interpreting customer requests and inquiries.
Proven experience working independently and with little direction.II.
Educational Requirements
Associate's Degree or two to four years experience in the financial or securities industry.III. Computer skills and knowledge of hardware software required
Working knowledge of Microsoft Office products including Word, Excel and Access.IV.
Competencies
Job Knowledge: Practical knowledge of LOB. Working knowledge of legal requirements for securities processing for mutual funds. Develops oneself. Learns from experience; actively pursues learning and skill development; seeks feedback and welcomes unsolicited feedback; modifies behavior in light of feedback. Analyze and Solve Problems: Gathers relevant information systematically; considers a broad range of issues or factors; grasps complexities.
Decision Making: Makes timely and sound decisions; makes decisions under conditions of uncertainty; evaluates short- and long-term consequences when making decisions. Confident when making decisions. Desire to progress within the company.
Produces Results: Works Efficiently. Allocates own time efficiently; handles multiple demands and competing priorities; eliminates inefficiencies. Ability to work independently. Learn from mistakes. Patient when learning. Handles day to day work challenges confidently; is willing and able to adjust to multiple demands, shifting priorities, ambiguity, and rapid change; shows resilience in the face of constraints, frustrations, or adversity; demonstrates flexibility and adaptability.
Professionalism: Team Membership. Shows commitment to team objectives; values each person's contribution to the team; encourages the participation and involvement of everyone on the team; contributes own fair share of effort to the team's work. Good working relationship with the team.
Client Focus: Commit to Quality. Emphasizes the need to deliver quality products and/or services; defines standards for quality and evaluates products, processes, and/or services against those standards; builds quality into each step of the process. Understanding of QC dept and how QC dept fits in with other departments (our clients)
Communication: Ability to communicate effectively with mgmt and peers. Good ListenerV.
Position Demands
Extended hours required as needed for peak season (usually April 15, tax season) as well as conversions and deconversion of business.
Additional extended hours may be required due to high volumes resulting from swings in the financial markets.VI.
Feeder Positions
Workflow Specialist
Transaction Processing Specialist
Shareholder Service Representative
Broker Dealer Associate
Cash Control AccountantVII.
Potential Career Opportunities
Account Resolution / Shareholder Services Supervisor
Adjustments/Broker-Dealer Supervisor
Shareholder Services Supervisor
Cash Control Supervisor
Transaction Processing Supervisor
QC / QA Supervisor