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Tag: Mutual

  • Trader, Mutual Fund – LPL Financial Services – Charlotte, NC

    clients. Traders will make outbound calls to Advisors regarding trades and trade corrections for Mutual Funds, UIT’s and Precious Metals. Traders must be able…
    From LPL Financial Services – 12 Jul 2013 17:16:36 GMT
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  • Sr Trader, Mutual Fund – LPL Financial Services – Charlotte, NC

    with 15 traders supporting aggregate daily call volumes of 495-625 calls from Financial Advisors, their assistants, and their clients. Senior Traders must be…
    From LPL Financial Services – 09 Jul 2013 05:22:03 GMT
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  • Sr Specialist – Institutional Mutual Fund Trader – Charles Schwab – Denver, CO

    Organizational Objective/Purpose: Join an institutional trading desk that supports multiple Schwab organizations and maintains a 20+ year history of world…
    From Charles Schwab – 12 Sep 2012 19:33:07 GMT
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  • VP, Mutual Fund Financial Reporting

    Please see the job description

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  • Compliance Analyst – Mutual Funds Job

    See Job Description

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  • Lead Mutual Fund Trader ($37-46K)

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    The Lead Mutual Fund Trader is primarily responsible for daily back office mutual fund trading operations:  Overseeing and effectively leading a group of Mutual Fund Traders, managing daily trade volumes, trade related workflows and supporting related back office processes.

    • Performs tasks associated with trading mutual funds including processing client trades, maintaining omnibus share balances, verifying trade details and reconciling trade settlements timely and properly
    • Lead and mentor trading staff in skills, knowledge, and procedures
    • Effectively mitigate trade exposure and losses from trading errors.  Process trade error corrections
    • Adhere to operation timeframes and deadlines
    • Identifies and escalates operational emergencies or discrepancies to Trading Manager
    • Provides productive back-up for staff.  Seen as interdepartmental resource and support
    • Assist Trading Manager with performance reviews and staffing recommendations
    • Assists in writing scripts for user acceptance testing
    • Compiles productivity metrics, related information and designs custom reports for management
    • Conducts department related research as directed
    • Must be able to write a script to test new programs related to mutual fund trading using proprietary company software
    • Scans documents as needed
     Requirements
    Typing of 40-45 wpm, with high accuracy, and 10-key skills preferred. Must be able to do math calculations with percentages and fractions. Must be able to communicate clearly verbally and in written format. Must be computer savvy, able to design an Excel spreadsheet and Word documents using intermediate level functions, and be able to learn new programs quickly.  Must be able to research and reconcile trading accounts.

    Must have expert level knowledge of the mutual fund industry and custodial processes including omnibus trading, FundSERV, Networking, and 22c2 compliance.  A high school diploma or the equivalent is required and financial industry licenses are preferred.

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  • RA- Mutual Fund Trader – AIG – New York, NY

    Platform
    • Quality control manual trades and corrections processed by traders
    • Acknowledgement of Trade Reject/Market Timing Notifications
    • Prioritize…
    From InsuranceJobs.com – 28 Jun 2011 11:54:36 GMT
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  • RA – Mutual Fund Trader

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    SUMMARY

    Provides back office support to licensed registered representative field force relating to mutual fund transactions and procedures by performing the following duties:

    ESSENTIAL DUTIES AND RESPONSIBILITIES include the following. Others duties may be assigned.

    Service representatives for the Advisor Network (RAA, FSC, SPF)
    Field inquiries regarding mutual fund procedures and charges
    Process and facilitate mutual fund transactions from representatives
    Act as liaison between representatives, Clearing firm and sponsors
    Reconcile reject/error accounts and process loss billing
    Process daily trading reallocation on Modelfolio Platform
    Quality control manual trades and corrections processed by traders
    Acknowledgement of Trade Reject/Market Timing Notifications
    Prioritize information that needs immediate attention
    Ensure timely follow-up concerning all issues and inquiries

    Requirements:

    EDUCATION/EXPERIENCE

    High School diploma required; college degree preferred. 1 – 3 years of related experience

    LICENSES/CERTIFICATIONS

    There are no license or certification requirements for this position. Series 6 preferred

    About Us:

    SunAmerica Financial Group is the fourth largest life insurance organization in the United States based on more than $221 billion of admitted assets as of September 30, 2009. It is comprised of several leading life insurance and retirement services businesses, including American General Life Companies, AGLA, VALIC, Western National Life Insurance Company, SunAmerica Retirement Markets, SunAmerica Mutual Funds, SunAmerica Affordable Housing Partners, FSC Securities, Royal Alliance and SagePoint Financial. The unified businesses, which comprise the domestic life and retirement services unit of AIG, offer a comprehensive suite of life insurance, retirement savings products and guaranteed income solutions through an established multi-channel distribution network that includes banks, national, regional and independent broker-dealers, career financial advisors, wholesale life brokers, insurance agents and a direct to consumer platform. Equal Opportunity Employer.

    Job ID: 58792

    Position Type: Full Time – Permanent
    Education: Bachelors Degree (or equivalent)
    Experience: 1-2 years
    Relocation: No

    Requirements

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  • RA- Mutual Fund Trader Job – Sun America Financial Group – New York, NY

    RA
    – Mutual Fund Trader

    Job ID #: 58792
    Location… control manual trades and corrections processed by traders
    • Acknowledgement of Trade Reject/Market Timing…
    From Valic – 27 May 2011 14:48:23 GMT
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  • RA- Mutual Fund Trader – Advisor Group – New York, NY

    Platform
    • Quality control manual trades and corrections processed by traders
    • Acknowledgement of Trade Reject/Market Timing Notifications
    • Prioritize…
    From American International Group – 26 May 2011 20:12:53 GMT
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