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Job Title: Operations Specialist – Mutual Funds/KYC/AML & Dataphile
Duration: 6 to 9 Months (with possible extension)
Location: Oakville Ontario
PLEASE DONOT APPLY IF YOU ARE NOT LOCAL TO OAKVILLE TO AVOID ANY DISQUALIFICATION AS THIS IS A HYBRID ROLE
Description:
Account opening documentation processing would be the main function. Processing the daily reports monitoring know your client (KYC) updates and account opening paper requirements received with regulatory timelines. Accounts are restricted and updated when out side of the time requirement. Additional support could be in assisting other teams in operations; such as transfers or unclaimed property. Majority of this role is data entry, using excel spreadsheets and reviewing documentation received.
The Operations Specialist is responsible for research and administration of routine and complex financial and non-financial transactions using all applicable systems for Client’s clients and/or Advisors while providing superior quality, meeting all published service levels, within a client centric service model.
Client is a leading national Canadian dealership with membership in both the Investment Industry Regulatory Organization of Canada (IIROC) and the Mutual Fund Dealers Association (MFDA). The dealership serves approximately 1,300 independent advisors, IIROC and MFDA.
Key Responsibilities
• Process routine daily transactions such as processing account opening or transfer requests received electronically or by way of paperwork; ensuring daily service levels are met with internal and external partners;
• Follow-up on issues as necessary or as directed; investigate into special complex transactions or other tasks as assigned, to a successful conclusion
• Address account opening or transfer related issues as it relates to any internal process related to the new or updated account, or incoming transfer request. Reporting into Team Leader, Supervisor or Manager on any escalated inquiries that are brought forward for resolution;
• Performing quality control or communicating on complex administrative cases with the Advisor or Assistant directly as needed
• Using Dataphile tracking, or any other tracking tools, maintaining and reporting progress updates regularly to the team;
• Maintains accurate records of transactions in order to interact effectively with clients;
• Identifies and or updates internal or external reference guides as necessary
• Identifies and solves most basic and complex problems based on an understanding of the customer’s needs, using investigation and established processes, procedures or guidelines;
• Responsible for recognizing the need to redirect more complex problems or escalate potential patterns to senior team members;
• Participates in special projects/assignments; perform other duties as required.
Qualifications
• Minimum of 2 years’ experience in the mutual fund financial services or investment industry, or at least 2 year’s experience in a dealer back office;
• Required to complete any and all Anti Money Laundering, Complaint Management and PIPEDA courses delivered by client
• Ability to identify patterns or connections and problem solving;
• Superior attention to detail and accuracy;
• Experience in Dataphile is an asset;
• Demonstrated proficiency in MS Office (Word, Excel) skills;
• Successful completion of IFIC Operations Course is an asset.
• CSC/CPH/IFIC Sales or IFIC Operations preferred
Attributes:
• Effective organizational, prioritization, and time management skills;
• Excellent interpersonal skills an ability to communicate effectively with all levels of staff;
• Ability to work in a fast paced team based environment.
• Action oriented
• Bachelors Degree, preferred.
Working Better Arrangements
Hybrid
