Sales Operations Coordinator I

Overview

Facilitates reconciliation of settled trades within Touchstone CRM tool. Initiates and receives calls from various levels of internal and external customers (broker-dealer back-office personnel) relating to reporting, sales, research and various other mutual fund operational-related issues. Updates and maintains systems as necessary. Works with general supervision and is responsible for making a minimal range of decisions.

Responsibilities

What you will do:

• Monitor for completion and accuracy of Resolution Services vendor, coordinating and assist as necessary with all Mutual Fund, SMA and ETF trade and asset reconciliation.
• As part of reconciliation process, corrects territory and /or broker dealer affiliation for transactions within defined parameters to ensure credit to the proper submitting firm and wholesaler team.
• Manage the Perspective Potential Link queue for Firm, Office and Rep records that are being synched between Salespage and Salesforce CRM tools to ensure changes are applied or rejected appropriately. In addition, manage the Salesforce Error queue in conjunction with technical resources to correct synch issues occurring between the two systems.
• Researches, validates and updates as necessary broker-dealer changes from both external distribution partners and internal sales team members submitted as Service Tickets. Monitor any broker-dealer change requests sent to Transfer Agent and resolution services vendor to ensure congruence of CRM tools.
• Reviews all newly created house accounts and merged firms and offices for proper registration and territory alignment. Pulls sales and asset data for specialized reports and sends out to the appropriate internal contact.
• Reviews new transaction codes received on settled trades within CRM to determine coding to apply from pre-determined similarly mapped transactions.
• Responds to initial requests for standard broker-dealer Selling Agreements by coordinating Firm level review Touchstone Compliance. If approved, sends documentation to external parties, tracking the status, return and ultimate execution of those agreements. Communicates agreement status to various levels of internal and external customers, including service providers ensuring new firms are accurately set up in required systems once agreement is executed.
• Initiates ad-hoc regulatory fulfillment for shareholder related literature orders received from the Touchstone website.
• Manage regulatory fulfillment process with print vendors and primary Transfer Agent for routine and non-routine SEC filings, including generation of mailing and eDelivery files for applicable shareholder and advisor populations as required.
• Receives and forwards along mis-directed hardcopy shareholder mail to the transfer agent for processing. Scans and emails to imaging system those items which do not require originals, overnighting originals or checks and logging items sent.
• Reviews and coordinates monthly 401k trade moves and required reporting for proper wholesaler compensation and submits details to Accounting.
• Identifies opportunities for process improvement, participates in procedure development and revisions.
• Performs other duties as assigned.
• Complies with all policies and standards.

Qualifications

• High School Diploma or GED - Required
• Bachelor's Degree - Preferred
• Mutual fund and/or ETF back office experience - Preferred
• Proven experience handling multiple duties and completing assigned tasks accurately and on a timely basis. Cite examples of experience working in a demanding environment with tight time constraints, heavy volumes and multiple demands. - Required
• Demonstrated knowledge of Salespage and/or Salesforce CRM tools or comparable software - Preferred
• Proven examples from work experience of maintaining a high degree of accuracy associated with high volumes of work and/or multiple duties. - Required
• Demonstrated ability to learn new product features and concepts and apply this knowledge on the job in a timely and effective manner. - Required
• 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. Ability to prepare correspondence, reports and forms using a prescribed format. - Required
• Proficient in Microsoft Office products, with emphasis on Excel or other spreadsheet applications. - Required
• Working knowledge of Database tools and Tableau with the ability to create and run queries. - Preferred
• Must complete a FINRA background check, including fingerprinting. Upon Hire - Required
• FINRA SIE and Series 99 - Preferred

Work Setting/Position Demands:

• Works in an office setting and remains in a stationary position for long periods of time while working at a desk, on a computer or with other standard office equipment, or while in meetings.
• Requires the ability to verbally communicate and exchange accurate information to customers and associates on a regular basis.
• Requires visual acuity to read and interpret a variety of correspondence, procedures, reports and forms via paper and electronic documents, visual inspection involving small defects; small parts, and/or operation of machinery (including inspection); using measurement devices continuously. Visual acuity is required to determine accuracy, neatness, and thoroughness of work assigned.
• Requires the ability to prepare written correspondence, reports and forms using prescribed formats and conforming to rules of punctuation, grammar, diction, and style on a regular basis.
• Requires the ability to apply principles of logical thinking to define problems, collect data, establish facts, and draw valid conclusions
• Performs substantial movement of wrists, hands, and fingers for continuous computer work.
• Extended hours required during peak workloads or special projects/events.

Travel Requirements:

• None