- Raymond James Financial, Inc. (St. Petersburg, FL)
- …back office system. These updates impact both client fees and multiple facets of Mutual Fund Trading . Extensive written and verbal contact with internal ... area. Specific functions include the update and maintenance of mutual fund product characteristics as well as...not limited to new fund set up, fund maintenance, fund trading restrictions… more
- Guardian Life (Bethlehem, PA)
- …annuity order entry through Annuity net + Review trades and client transactions including mutual fund shares classes, breakpoints, ROA, LOI, etc. + Build and ... broker/dealer and RIA. This role handles all aspects of order entry for mutual funds, equities, options, fixed income, and annuities. Orders are accepted from PAS… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …MINIMUM KNOWLEDGE, SKILLS AND ABILITIES REQUIRED: + Understand all aspects of equity and mutual fund trading , including stop orders, limit orders, market ... Investment Executives and their assistants. + Accurately enter stock, mutual fund , bond, option, and UIT orders...+ Assist Investment Executives in all aspects of NFS trading system. + Ability to service both Investment Executives… more
- JPMorgan Chase (Columbus, OH)
- …in the investment management industry. + Technical and business knowledge of various Fund structures (eg, mutual collective investment and ETFs) and activities ... and oversight of a group of Funds including US Mutual Funds, ETF, and Collective Investment Funds in addition...including ETFs. **Job Summary** As a Asset Management - Fund Controller - Associate you will support the Production… more
- Wellington (Needham, AL)
- …of 30 June 2021, we serve as a trusted adviser to institutional clients and mutual fund sponsors in 65 countries. Our innovative investment solutions are built ... high degree of customization to meet our clients' unique needs. The **InvesTech Fund Treasury & Custody Team** is responsible for managing and overseeing the… more
- Comerica (Detroit, MI)
- …* Maintain list of waived securities on Envestnet platform. * Work with Envestnet, Trading and Mutual Fund unit to co-ordinate trade corrections and ... accounts not suited to Tax Overlay Services, manage transition process via model update, out of non-approved products and...(and no longer approved) strategies and products. * Monitor trading files for mutual funds, collective funds… more
- The Hartford (Wayne, PA)
- …will be responsible for various aspects of the investment adviser, transfer agency and mutual fund compliance programs of in support of Hartford Funds. The ... fund accounting, and/or legal experience with expertise in mutual fund , ETF or investment adviser compliance;...and key legal issues especially as they relate to trading , the investment process and the management… more
- UMB Bank (Kansas City, MO)
- …training to provide extensive UMB and financial knowledge, the Trust Operations team provides trading support for our mutual fund and trust customers. These ... with the processing of incoming and outgoing wires for mutual fund clients. Within the Trust Operations...The Securities Services Operations Associate Senior is responsible for trading money markets and mutual funds for… more
- Randstad US (Harrisburg, PA)
- …qualifications: + Bachelor's Degree and a minimum of four years of experience in mutual fund accounting, hedge fund accounting, investment accounting or ... + Assist in the monthly limited partnership / private fund investment and divestment process + Prepare...an asset management and / or banking environment. skills: Fund Accounting, Mutual Fund Accounting,… more
- Fifth Third Bank, NA (Cincinnati, OH)
- …of Death designations, review of advisor email correspondence, review of and approval of mutual fund trade corrections, review of new business forms for the ... + Seeks additional information and related follow-up to evidence the review process , in conformance with requirements. + Assists with regulatory exams and requests;… more
- Wellington (Chicago, IL)
- …of 30 June 2024, we serve as a trusted adviser to institutional clients and mutual fund sponsors in over 60 countries. Our innovative investment solutions are ... well as internal teams, in particular: internal and external Legal Counsel, Investors, Trading , Fund Services & Business, Valuations, and back-office teams +… more
- Lincoln Financial Group (Radnor, PA)
- …hedging and market risk management strategy, product risk management strategy, and fund risk management analytics and strategy. The position will be heavily involved ... developing tools and leveraging the MRM risk modeling and derivatives trading teams for support of asset/liability projections and modeling support. Improve… more
- Citizens (NV)
- …effective time management skills. + Processing customer requests to include options, equities, mutual fund , and fixed income trades. + Analytical skills will ... and assist in resolving complex discrepancies relating to client accounts and trading activities. + Monitor and investigate margin calls and trade extensions, taking… more
- Deloitte (New York, NY)
- …clients include the world's leading independent asset managers, diversified financial institutions, mutual funds, private fund advisers (hedge funds and private ... product offerings, operating models or structural change management, technology and process transformations, or risk management services. The industry knowledge and… more
- JPMorgan Chase (Columbus, OH)
- …or equivalent + Active FINRA 6 or 7 & 63 licenses OR Two years Mutual Fund Client Servicing experience required + Strong written and oral communication skills ... to achieve business goals. The Client Service team works heavily on process improvements and driving change through collaboration across all businesses from Sales,… more
- Charles Schwab (Westlake, TX)
- …Exhibits wealth management and investment products expertise including equities, fixed income, mutual fund and retirement plans; equity compensation plans, stock ... planning, estate planning, investment management, retirement planning, education planning, active trading , banking, insurance, and lending needs. + Manage a practice… more
- T. Rowe Price (Owings Mills, MD)
- …various internal (security breaches, system failure, reconciliation errors) or external (Sarbanes-Oxley, mutual fund trading concerns, privacy) issues. + ... Evaluates business processes for gaps in controls and to align the process with internal control best practices. Identifies opportunities to streamline the … more
- BlackRock (San Francisco, CA)
- …a strong financial and technical background to further enhance our investment process and Python-based investment platform for Model Portfolios. With the rapid ... asset classes. Responsibilities: + Manage multi-asset portfolios comprised of ETFs and mutual funds and/or global single name physical equity portfolios + Perform… more
- Morgan Stanley (Purchase, NY)
- …Family Office ("MSFO"), Outsourced Chief Investment Office ("OCIO"), Morgan Stanley Fund Services, Graystone Consulting and Wealth Management Operations. IIS is ... adhering to all policies and procedures, and contributing to operational process improvements. The candidate will collaborate and partner closely with client… more
- Charles Schwab (Westlake, TX)
- …the securities industry, including the basic principles of equity, option, and mutual fund transactions + Robust communication, influencing and client engagement ... In this role, you'll learn to educate clients about investment strategies, trading tools, market mechanics, and retirement choices. You'll engage with, and be… more