Set Up Operations: Design and implement the operational framework for the mutual fund back office, including workflow processes, systems integration, and procedures.
Regulatory Compliance: Stay abreast of regulatory changes and ensure that all back-office operations adhere to relevant regulations, such as SEC, FINRA, and other industry guidelines.
Transaction Processing: Oversee the processing of mutual fund transactions, including purchases, redemptions, exchanges, and transfers, ensuring timely and accurate execution.
Reconciliation: Manage reconciliation processes for cash, securities, and other assets to ensure accuracy and resolve discrepancies promptly.
Reporting: Develop and generate reports on back-office activities, including transaction volumes, reconciliation status, and operational metrics, for internal and regulatory purposes.
Risk Management: Identify and mitigate operational risks through effective controls, monitoring, and escalation procedures.
Vendor Management: Coordinate with third-party service providers, such as transfer agents, custodians, and technology vendors, to ensure seamless integration and optimal service delivery.
Team Leadership: Lead and mentor a team of back-office professionals, providing guidance, training, and performance feedback to ensure a high-performing and cohesive team environment.
Continuous Improvement: Identify opportunities for process improvements and automation to enhance operational efficiency, reduce costs, and minimize risk exposure.
Collaboration: Work closely with cross-functional teams, including portfolio management, compliance, legal, and technology, to support business objectives and drive strategic initiatives.
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