ABIS OPS

Describe the role:

This entry level position will process financial activities within the Transfer Agent (TA) and perform functions related to risk and compliance. This includes, but is not limited to, the execution and settlement of various trades, quality control of trades processed, surveillance of electronic communication for adherence to regulations, and review of alerts on investor data.

The best candidate for this position will possess strong attention to detail and have foundational knowledge regarding operations.

The key job responsibilities include, but are not limited to:

 Process mutual fund transactions, such as subscriptions, redemptions, as-of trades, and trade corrections

 Perform ancillary tasks related to transaction processing

 Research and respond to inquiries regarding trade execution and settlement

 Review electronic correspondence to ensure compliance with FINRA regulations and company policies

 Assist in the daily resolution of department support items (workflow management system, e-mail)

 Document results/outcomes, supervisory instructions, exception processing, or other miscellaneous comments on workflow management systems

 Meet SLA delivery and productivity targets for each function

 Meet quality standards as outline by department management.