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Shareholder Services Manager (570-241)
Chicago-based investment management firm is seeking a Manager to oversee
Shareholder Services within the organization. This person will be
responsible for ensure top notch service is given to the firmís investors
while also overseeing staff performance and maintain a positive working
Manage staff to ensure that investors, brokers and dealers are receiving
accurate, courteous, timely and efficient service.
Work with the management team to develop a service strategy
Make employment decisions including both hiring and termination decisions
Manage staff performance appraisal process.
Forecast and plot volumes in order to ensure that departmental standards are
Proactively manage staffing, including offline time and vacation.
Ensure that all associates are aware of service strategies, marketing and
sales initiatives and product and corporate promotions.
Remain up to date on industry practices and maintain a thorough knowledge of
our clientsí products.
Work closely with the Legal and Compliance team on regulatory cases that may
be either routine or complex.
Ensure that department functions adhere to federal and state regulations.
Ensure that management is kept aware of department progress towards
individual and department goals and of the overall effectiveness of the
Maintain a positive and productive work environment for Transfer Agency
Assist with the management and oversight of Harbor Services Group vendors.
Continuously develop the front-line representatives by providing coaching,
feedback and mentoring.
Facilitate training, including team and inter department training such that
superior service delivery and career advancement is achieved.
Create programs to support and reward high performance.
Implement quality service initiatives, which retain existing investor assets
and attract new assets for Harbor clients.
Recommend and implement new policies, procedures and workflow approaches or
other methods for working closely with clients in order to proactively
develop efficiencies and improve customer satisfaction.
Bachelorís degree or comparable job experience.
2+ years of management experience in the financial services industry, either
in a supervisory capacity or in a role that required leadership skills in a
customer facing environment.
FINRA Series 6, Series 63, Series 26 required or willing to obtain within 12
months of hire
Exceptional writing and editing skills with the ability to create clear and
Strong knowledge of the mutual fund industry and its regulations.
Fluent in all aspects of mutual funds processing and telephone service
delivery; knowledge of NSCC trading/reconciliation a plus.
The ability to lead others, troubleshoot and resolve complex account
Detail oriented, self-motivated and exhibits a passion for service
Strong interpersonal and oral communication skills, including the ability to
provide constructive feedback to direct reports.
Alternative Investments // Asset Management // Banking // Broker Dealer