Operations Specialist – Mutual Funds

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PEAK6

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

💳 Fintech

📚 Education

Fintech • Investment • Education

PEAK6 is an innovative investment firm headquartered in Austin, Texas, with a global presence that includes a diverse portfolio of businesses. The company operates outside traditional investment practices, focusing on capturing unique opportunities and leveraging technology to enhance performance. PEAK6 encompasses various entities, including capital management, fintech solutions, and education initiatives, aiming to simplify processes, democratize financial access, and empower consumers. With over 25 years in the industry, PEAK6 strategically invests in transformative ideas, ensuring flexibility in the dynamic financial landscape.

📋 Description

• Provide support and assistance to correspondents regarding daily requests and inquiries related to mutual funds • Ensure customer inquiries are addressed and completed in accordance with service level agreement guidelines • Review and complete daily supervisory oversight, providing updates to seniors and management • Ensure mutual fund trades are processed within processing deadlines • Execute and process mutual fund transactions, including purchases, redemptions, exchanges, and transfers • Reconcile mutual fund accounts on a daily basis to ensure all transactions are accurately recorded and settled • Ensure all operations comply with regulatory requirements, industry standards, and company policies • Assist in preparing regulatory reports and documentation for audits and examinations

🎯 Requirements

• Minimum of 2-3 years’ experience in the financial industry, preferably in roles related to: securities processing, brokerage operations, broker-dealer operations, equity trade lifecycle, new accounts • Bachelor degree in Finance, Business Administration or equivalent experience required • FINRA SIE and FINRA Series 99 required (or willingness to obtain within 90 days of employment; Series 7 is preferred) • Strong analytical skills • Excellent verbal and written communication skills including the ability to adapt messaging based on the audience • Detail-oriented and focused on customer satisfaction • Understanding of Microsoft office tools including Excel • Strong customer service and problem solving skills • Requires excellent data gathering and analysis skills, utilizing reports, spreadsheets, web-based applications, and other software tools (SQL, Microsoft office, and Google Work suite) • Strong knowledge of/ or experience in Core Brokerage Operations functions

🏖️ Benefits

• healthcare benefits (medical, dental and vision, EAP) • competitive PTO • 401k match • parental leave • HSA contribution match • paid subscription to the Calm app • generous external learning and tuition reimbursement benefits • hybrid work schedule for most roles