Account Services Manager

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Ultimus Fund Solutions

WebsiteLinkedInAll Job Openings

501 - 1000 employees

💸 Finance

☁️ SaaS

🤝 B2B

💰 Private equity on 2012-07

Finance • SaaS • B2B

Ultimus Fund Solutions is an independent provider of fund administration and investment operations solutions for advisors and asset/fund managers. The firm delivers high-touch, scalable services across public and private markets — including transfer agency, middle-office and investment operations, ETF launch and conversion support, and specialized administration for mutual funds, private equity, private credit, retail alternatives, REITs and other fund wrappers. Ultimus combines these services with integrated, AI-enabled technology platforms (Ultimus Connect, Portfolio Analytics Portal, Workflow Manager, Investor and Advisor Portal, Private Investor Portal and related tools) to provide data, reporting and workflow automation. According to its public materials it administers $775B+ in assets, supports 2,500+ funds, 450+ clients, and 1,200+ associates.

📋 Description

• Oversee the Transfer Agent Operations Team and interact with clients, financial representatives, vendors, and associates • Ensure timely processing of transactions through workflow management • Interpret fund prospectuses and ensure accurate processing • Develop procedures and instructions for the processing team • Authorize processing exceptions according to management guidelines • Provide information and answer questions for fund family contacts • Determine and interpret required legal documents for processing • Ensure compliance with SEC, NICSA, and FINRA regulations • Interpret IRS regulations for retirement plans and tax reporting • Resolve and process IRS Tax Levies • Manage department associates, including hiring, training, development, delegation, performance appraisals, salary recommendations, coaching, counseling, and corrective actions • Conduct regular one-on-one and team meetings • Establish team and individual department goals • Hold associates accountable for their work and foster process performance • Mentor associates through instruction, coaching, on-the-job experiences, and practice modeling • Maintain frequent contact with fund advisor executives and financial brokerage representatives • Manage escalated situations with difficult callers or clients • Collaborate with Transfer Agency Operations Leadership to develop new procedures • Perform other duties as required and assigned

🎯 Requirements

• Bachelor's degree in business administration or a related field • 6+ years of experience in client services or a related field • 1–2 years of management and leadership experience • Experience within the financial services industry • Series 6 or 7 license • Equivalent education and experience will be considered • Knowledge of operational standards, including SEC, IRS, and prospectus regulations • Knowledge of retirement products such as IRA, SIMPLE IRA, and other plans • Proficiency in mutual funds and alternative investment products • Proficiency with Microsoft Office Suite • Proficiency with Adobe Acrobat • Leadership, delegation, coaching, and personnel-management skills • Ability to plan and develop systems and procedures to improve quality and efficiency • Troubleshooting, creative thinking, critical thinking, multitasking, analytical, and organizational skills • Strong commitment to quality, efficiency, and effectiveness • Personal integrity, responsibility, and accountability • Clear and concise written and oral presentation skills • Ability to establish effective working relationships with associates and clientele • Ability to adapt priorities and deadlines to changing conditions and obstacles