Dealer Services Operations Specialist

Ultimus•Omaha, NE

About The Position

The Dealer Services Operations Specialist supports functions related to NSCC and dealer operations. The role monitors reports and files, coordinates transaction settlement, resolves failed trades, processes dividends and commission payments, supports dealer-related file transmissions, and responds to broker-dealer inquiries. It also maintains Blue Sky registrations and shareholder recordkeeping data, coordinates dealer agreement changes, and retrieves or prepares reports for clients and broker dealers. The specialist works with broker dealers and internal teams on pricing, settlement questions, trade corrections, inquiries, and operational workflows, and may perform other duties as assigned.

Requirements

Bachelor’s degree in business administration or a related field, or equivalent education and experience.
Experience within the mutual fund industry.
Knowledge of mutual fund transfer agent operations.
Knowledge of Microsoft Office Suite and Adobe Acrobat.
Troubleshooting skills using creative and critical thinking.
Multitasking, analytical, critical-thinking, and organizational skills.
A proactive, strategic, and meticulous approach, with a strong commitment to quality, efficiency, and effectiveness.
Personal integrity, responsibility, and accountability.
Ability to use time and information effectively in conjunction with associates.
Ability to participate in problem-solving and decision-making.
Clear and concise written and oral communication skills.
Active listening and ability to support an open exchange of ideas and information.
Ability to identify needs and obtain resources to accomplish individual and department goals.
Ability to establish and develop effective working relationships with associates and clientele in favorable and unfavorable situations.
Ability to adjust priorities and deadlines in response to new information, changing conditions, or unexpected obstacles, and ensure completion.

Responsibilities

Monitor reports and files to ensure successful posting of transactions.
Coordinate settlement of NSCC transactions with the Financial Control Team.
Resolve failed trades and communicate their status.
Process dividends.
Run commission payment jobs and support broker-dealer inquiries about commission payments.
Support dealer-related file transmissions.
Monitor the Blue Sky database against shareholder transaction activity, coordinate registrations with Blue Sky administrators, and update the shareholder recordkeeping system to keep permits current.
Process dealer, branch, and representative updates in the shareholder recordkeeping system as requested by broker dealers.
Coordinate dealer agreement changes.
Retrieve and process system-generated reports requested by clients and broker dealers.
Manipulate and filter data in Excel reports to meet unique client requests or address operational issues efficiently.
Support broker-dealer contacts regarding pricing issues, transaction settlement questions, trade corrections, and other operational matters.
Coordinate with team members and internal teams on inquiry follow-up and open workflows.
Perform other duties as required and assigned.