529 Shareholder Services Specialist II

Responsibilities

• Provide transfer agency functions and maintain accurate records for 529 Plan clients.
• Support account owners and financial representatives via phone, email, and chat.
• Perform quality control reviews on new account enrollments, transfer requests, and investment election changes.
• Input complex trades and account maintenance updates into the recordkeeping system.
• Execute daily reconciliation of manual, NSCC, and internet-based trades.
• Process requests for 529 plan literature and forms in a timely manner.
• Comply with company policies, legal requirements, and state-specific documentation standards.

Requirements

• Undergraduate degree in business administration, finance, or a related field.
• Active Series 6 or 7 license.
• 3-5 years of experience providing inbound client support in a call center environment.
• Proven experience within the financial services industry (e.g., brokerage, mutual fund, or retirement services).
• Strong knowledge of financial products, specifically 529 plans, mutual funds, and retirement plans.
• Proficiency with Microsoft Office Suite and Adobe Acrobat.

Preferred Qualifications

• Experience with transfer agent recordkeeping and workflow systems.
• Ability to troubleshoot complex issues using critical thinking and analytical skills.
• Demonstrated ability to manage multiple priorities in a fast-paced, remote environment.

About the Company

Ultimus provides specialized services to the investment management industry, offering expertise in transfer agency, fund accounting, and compliance to help clients manage their investment products effectively.