Manually facilitates trade order processing when required.
Ensures that trades are executed and confirmed in accordance with organizational policies and procedures.
Facilitates the price adjustment and trade correction process.
Ensures trades are confirmed and researches and resolves unconfirmed trades.
Reviews trade problem, analyzes and interprets data and determines appropriate corrective action.
Contacts internal and external customers to resolve trading problems.
Maintains currency in trading policies and procedures.
Provides trading support to financial advisors and responds to inquiries regarding fund suitability, products and services.
Establishes and maintains periodic orders. Resolves periodic order issues, cancels and corrects as needed.
Ensures trades are receiving appropriate breakpoints/sales charges.
Reviews, uploads and researches rejects on bulk trades for discretionary accounts, works with advisor to reprocess as needed.
Coordinates and processes share class conversions, works with both internal and external departments and funds companies to ensure successful conversions.
Ensures that all the varied and complex fund family rules and procedures are adhered to, and that the firm's regulatory obligations are met.
Processes various trade related reports and utilizes tools including trade related databases and 3rd party applications.
Researches and corrects Asset Management Services portfolio rebalance issues.
Produce, update, and provide best practice support on Microsoft documents, databases, and other departmental systems. Tasks may include purchasing materials, entering budgetary information, and recording time and expenses.
Carry out operational tasks by following established processes. This will involve adjusting multiple settings or parameters to meet performance standards.
Prepare routine letters, memoranda, reports, and similar documents following detailed instruction. This is likely to involve using the full range of functions within standard office software.
Create, organize, and maintain files containing the correspondence and records of a senior colleague.
Help manage internal client relationships by supporting others to build effective working relations.
Assess compliance with established standards and protocols for routine inquiries.
Support others by working on a variety of data management tasks.
Develop working knowledge of the organization's policies and procedures and of regulatory codes and codes of conduct relevant to own work, adhering to mandatory procedures to ensure own work is undertaken to the required standards.
Develop and maintain excellent process or technical skills by participating in assessment and development planning activities as well as formal and informal training and coaching.
Knowledge of:
Intermediate investment concepts, practices, procedures and industry regulations related to Mutual Fund trading activities.
Principles and practices of customer relations and communications.
Accounting principles.
Front-end system used in assigned functional area and its relationship with account history.
Excel, Word, Outlook and other applications as needed.
Requirements
Identifying financial events that affect orders.
Reconciling and correcting transactions.
Updating and maintaining information systems.
Handling a high volume workload, phone calls and various other requests within specified timeframes.
Operating standard office equipment and using required software applications, sufficient to create documents, spreadsheets, and business correspondence.
Uses clear and effective verbal communications skills to express ideas, request actions and formulate plans or policies.
Plan, organize, prioritize and ov
Additional Information
Job Description Summary
Hybrid Work Environment: This position follows our hybrid-friendly schedule, so you get the best of both worlds - flexibility and collaboration. In office days will be 3 per week averaging 12 days per month in our St Petersburg, FL corporate office.
As a Sr Mutual Fund Trading Support Associate, you will be responsible for executing a variety of standard and specialized financial transactions within our mutual fund operations. Working within established administrative and operational guidelines, you will ensure the accurate and timely processing of trades and account activities. This role also involves handling non-standard or exception-based transactions that may require additional research, investigation, and coordination across departments. Your attention to detail, problem-solving skills, and commitment to operational excellence will contribute to the integrity and efficiency of our trading support functions.
Execute standard banking transactions for specific units or operating/processing departments in accordance with administrative and operational processes. Process a range of specialized and non-standard transactions that usually require some research or investigation.
Job Description
Raymondjames · Saint Petersburg, Florida - United States