Business Systems Analyst - Team member involvement in project planning and implementation. Transfer Agent representative for mutual fund name changes and CUSIP changes, coordinating with internal and external business partners to ensure timely and accurate changes across all necessary systems. Reconcile and pay mutual fund dividends, plan administration, revenue sharing, networking, and 12b1 fees, to include balancing these payments between recordkeeping systems (DST TA2000) and fund accounting system (InvestOne), where appropriate, within tight timeframes.
Business Operations Analyst - Team member involvement in project planning and implementation. Identify processes that can be automated and use various methods to build user-friendly applications, reducing manual processing. Monitor income payments to ensure proper tax reporting. Created automated process, expanding scope and reducing labor requirements of notifying sales force of tax withholding. Automated desk level duties, saving 2½ hours daily of a 3-hour process, allowing the individual at the desk to assume additional responsibilities and grow professionally. Planned move of approximately 125 people to new work locations, bringing staff into same building as management, with no issues impacting production on first production day after move. Designed process to use in conjunction with third party vendor and service provider, ensuring that mutual fund reallocation transactions were processed accurately and with reduced labor requirements.
Contractor - Manage daily operations of Individual Life cashiers unit, ensuring team meets established deadlines.
District Compliance Analyst - Approve new accounts and review trade activity, ensuring compliance with regulatory agencies and firm policy. Automate system used to notify sales force of pending concerns, eliminating duplication of entry into multiple systems and enhancing tracking and reporting capabilities.
Brokerage Clerk - Monitor reconciliation accounts to ensure $0 balance at end of day. Monitor transmissions between firm and vendors, ensuring that new account requests, account maintenance requests, and share transfer requests were completed correctly and in a timely manner. 98% success ratio comparing incoming mutual fund positions against existing positions and working with mutual fund companies to execute necessary selling agreements in preparation of system conversion.
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