Sales Operations Coordinator I
On-siteCincinnati, Ohio, United States
Job Summary
Monitor Resolution Services vendor completion and accuracy for Mutual Fund, SMA, and ETF trade reconciliations, correcting broker-dealer affiliations to ensure proper credit. Manage Perspective Potential Link and Salesforce Error queues to synchronize records between Salespage and Salesforce tools. Research and validate broker-dealer changes from external partners and internal teams, reviewing new transaction codes and house accounts for proper registration. Respond to initial requests for Selling Agreements by coordinating firm-level reviews and tracking execution status. Initiate ad-hoc regulatory fulfillment for shareholder literature, coordinate SEC filings with transfer agents, and process mis-directed shareholder mail. Review monthly 401k trade moves and submit details to Accounting. Identify process improvement opportunities and participate in procedure development. Requires FINRA background check, SIE, and Series 99; extended hours during peak workloads.
Required Qualifications
- High School Diploma or GED
- Proven experience handling multiple duties and completing assigned tasks accurately and on a timely basis
- Proven examples from work experience of maintaining a high degree of accuracy associated with high volumes of work and/or multiple duties
- Demonstrated ability to learn new product features and concepts and apply this knowledge on the job in a timely and effective manner
- Possess and displays excellent verbal and written communication skills with ability to convey information to internal and external customers in a clear, focused and concise manner while following proper rules of punctuation, diction and style
- Proficient in Microsoft Office products, with emphasis on Excel or other spreadsheet applications
- Must complete a FINRA background check, including fingerprinting
Desired Qualifications
- Bachelor's Degree
- Mutual fund and/or ETF back office experience
- Demonstrated knowledge of Salespage and/or Salesforce CRM tools or comparable software
- Working knowledge of Database tools and Tableau with the ability to create and run queries
- FINRA SIE and Series 99
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