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Security Setup Specialist - Req. 1901149


Job Summary:


Under general supervision, uses specialized knowledge and skills obtained through experience and/or training to assist with the overall workflow of an assigned functional area, including collaborating with management team to identify opportunities for operational efficiency and productivity improvements and assisting with special projects. Detailed instructions and established procedures and prescribed guidelines are provided to perform a variety of tasks requiring minimal evaluation, originality or ingenuity in making routine decisions. Recommends solutions to moderately complex problems. Extensive contact with internal customers and external contacts is required to identify research and resolve problems. 


Essential Duties and Responsibilities:


• Reviews, interprets and applies incoming correspondences from various fund families related to the update and maintenance of mutual fund product characteristics as well as fund family rules and trading requirements

• Performs a variety of operational procedures within the department, related to the update and maintenance of mutual fund product characteristics as well as fund family rules and requirements including but not limited to new fund set up, fund maintenance, fund trading restrictions and Corporate Actions (mergers, liquidations).

• Monitors and reviews the daily workflow to ensure the correct use of applications and compliance with established procedures.

• Prepares various forms of written communication in regards to fund updates to both internal and external audiences.

• Serves as a back-up in cross-functional responsibilities as needed.

• Independently handles resolution and recommends solutions to highly complex problems involving multiple departments.

• Prepares written recaps, reports and spreadsheets for special projects and submits to management for review.

• Initiates the evaluation of current processes and systems and recommends productivity improvements.

• Participates and leads in a variety of department initiatives including maintenance of policies and procedures and changes due to new regulatory rules.

• Assists with preparation of risk mitigation plans, procedure review and enhancement.

• Performs other duties and responsibilities as assigned.





Knowledge, Skills, and Abilities:

Advanced Knowledge of:

• Operations and systems of assigned functional area.

• Process flows within specific assigned functional area.

• Fundamental project management tools, techniques and procedures

• General accounting procedures

• Understanding of documentation for business process workflow and control points

• Knowledge of investment concepts, practices and procedures used in the securities industry, principles of banking and finance and securities industry operations and/or financial markets and products, as required by assigned functional area.

• Regulations for specific assigned functional area.

Advanced Skill in:

• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.

Ability to:

• Organize, manage, and track multiple detailed tasks and assignments with frequently changing priorities and deadlines in a fast-paced work environment.

• Use appropriate interpersonal styles and communicate effectively, both orally and writing, with internal associates and external contacts at all levels.

• Effectively gather all relevant information in order to analyze, research, and resolve business issues in order to make decisions.

• Analyzing data to identify discrepancies.

• Problem solving.

• Demonstrate strong numerical aptitude and use critical thinking when solving operational problems.

• Attend to detail while maintaining a big picture orientation.

• Communicate effectively, both orally and in writing

• Work independently as well as collaboratively within a team environment.

• Provide a high level of customer service.

• Establish and maintain effective working relationships.

• Provide training using a variety of instructional approaches.

Educational/Previous Experience Requirements:

• Bachelor’s Degree (B.A.) in related field and two (2) years of general work experience in a financial environment.


• Any equivalent combination of experience, education, and/or training approved by Human Resources.


• Not required.