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Is the entry point for and manages the data analysis tasks from A to Z (using GMI and FBF), for Global Insights, to contribute to the timely publication of a wide range of commercial Insights client publications
Updating and distributing the required data in a regular, timely manner, for the relevant insights reports; first formatting and consistency checks
Populates all excel, Indesign and powerpoint templates in the Global Insights universe as required in accordance with a strict production/publishing deadline
First line of Quality Assurance for all required data and focal point for innovating/developing better/smarter ways to use our data
Supporting the editorial team with ad hoc data enquiries and (client) queries
May perform other related duties/responsibilities as needed or assigned
• Perform the day-to-day processing related to mutual fund short-term trading compliance as it relates to SEC rules 38a-1 and 22c-2 within the Investment Company Act of 1940 and the disclosed policies within the prospectus’ of those mutual fund clients who have opted for this full-service outsourcing
• Perform daily processing functions including the research of omnibus account-level trading irregularities and individual account-level short-term trading policy violations (identified via the review of transactional data received via files delivered from transfer agency, brokerage, variable insurance, trust, and retirement recordkeeping systems) and the review and submission of data sharing requests to financial intermediaries who sub-account the mutual fund products of Access Data fund clients
Day-to-day activities:
• Research and take remedial action on breakdowns in data-sharing communication or data request rejections via conduits such as the NSCC Standardized Data Reporting (SDR) interface, supermarket portals, proprietary data interfaces, and secure e-mail
• Direct formal communication of policy violations to fund clients and their financial intermediaries and ensure that enforcement activity (up to and including account restriction) is enacted
• Maintain integrity of fund client and financial intermediary data stored in SalesVision; secure additional information from the fund clients’ transfer agent or financial intermediaries (sub-accountants) as needed
• Identify policy violations and processing exceptions and communicate escalation issues to Compliance Insight Services group manager
• Identify opportunities for process improvements / best practices and submit recommendations to management accordingly
• Format daily and ad hoc financial intermediary files and load into SalesVision
• Perform daily data download and restriction processing within super market portals
• Document and store all compliance-related tasks and communications with both fund client and financial intermediary personnel
• Attain expert knowledge of the compliance functionality of the SalesVision Shareholder Compliance application and the full-service outsourcing functions of the Compliance Insight Services group, as well as the business functionality of other SalesVision modules and Insight Services
• Interact with ADC fund and intermediary clients to ensure client satisfaction and promote product excellence
Provide day-to-day service for multiple and/or complex Broadridge clients
Work with multiple teams (Product, Data Submission, etc.) in tracking and resolving the client issues and related tasks
Troubleshoot emergency/immediate client issues that can be resolved intra-day through self-diagnosis or by working with members of other Broadridge teams
Work with Broadridge Client Relationship Managers and Sales Teams to manage client issues, develop account management strategies and develop additional revenue opportunities
Work with the Product Development team to identify possible new system enhancements, modules, services, etc
Inform clients of upcoming system releases. Keep them informed about the release dates, new functionalities, enhancements and new services
Act as a “billable| resource for purposes of completing long-term projects for clients
Ensure the all client needs are being met or addressed on a timely basis
Establish regular communications with the client team and manage the customer relationship through effective communication to provide proactive support and delivery of a high level of customer satisfaction
Maintain a well-developed working knowledge of Broadridge product suite and services offered, taking responsibility to keep it up to date and request assistance for further development needs
Stays informed of and follow all relevant Broadridge policies to ensure the security and privacy of the data
Facilitate the onboarding process for new clients, ensuring a smooth transition and integration into Broadridge systems and services
Conduct training sessions for clients on new features, system updates, and best practices for utilizing Broadridge services effectively
Regularly collect and analyze client feedback to identify areas for improvement
Regularly update and maintain a comprehensive Confluence knowledge database, encompassing user guides, one-pagers, FAQs, and manuals
Utilize Jira to track and manage daily client interactions, ensuring efficient handling of inquiries, issues, and requests
Compliance Oversight: Ensure adherence to the disclosure regulations and manage the process of disclosure to plan sponsors
Documentation Management: collect, organize and maintain accurate records of all relevant disclosures, including fee schedules, contracts, and plan level agreements
Review and Analysis: Carefully review the disclosures, quality check against billing information, and identify any discrepancies or missing information and make corrections
Communication: Collaborate with internal teams such as operations, legal, finance, billing, compliance and client service to effectively communicate the disclosure process and facilitate contacting plan sponsors
Reporting and Recordkeeping: Generate reports summarizing the status of disclosure notices, agreement updates, tracking compliance efforts, and maintain comprehensive records for audit purposes
Process Improvement: Continuously evaluate and enhance the disclosure process to ensure efficiency, accuracy and regulatory compliance. Propose and implement process improvements were applicable
Industry Knowledge: Stay updated on regulatory changes, industry best practices, and emerging trends related to disclosures and process. Attend relevant training sessions to expand your knowledge and maintain expertise on the topic
Research valuable fund information from official websites,
Maintain databases of collected information by updating/deleting/adding information,
Work closely with team members and product managers to make sure collected information is used efficiently and in line with product development roadmap,
Provide world-class customer service by communicating with clients through email, phone, and various other sources of client requests
As one of the largest financial printers, readily identify and service all client needs to fulfill the electronic transmission of their sensitive documents to the SEC
Apply a robust knowledge of SEC guidelines and EDGAR rule specifications to ensure successful client disclosures, which includes continual learning on the job as EDGAR regulations evolve
Daily use of Microsoft suite and internal group of applications
Conversion of documents from various file types including Word, Excel. Powerpoint, and PDF into HTML format
Live submission of documents with the SEC using proprietary Broadridge software
Provide day-to-day service for multiple and/or complex Broadridge clients
Work with multiple teams (Product, Data Submission, etc.) in tracking and resolving the client issues and related tasks
Troubleshoot emergency/immediate client issues that can be resolved intra-day through self-diagnosis or by working with members of other Broadridge teams
Work with Broadridge Client Relationship Managers and Sales Teams to manage client issues, develop account management strategies and develop additional revenue opportunities
Work with the Product Development team to identify possible new system enhancements, modules, services, etc
Inform clients of upcoming system releases. Keep them informed about the release dates, new functionalities, enhancements and new services
Act as a “billable| resource for purposes of completing long-term projects for clients
Ensure the all client needs are being met or addressed on a timely basis
Establish regular communications with the client team and manage the customer relationship through effective communication to provide proactive support and delivery of a high level of customer satisfaction
Maintain a well-developed working knowledge of Broadridge product suite and services offered, taking responsibility to keep it up to date and request assistance for further development needs
Stays informed of and follow all relevant Broadridge policies to ensure the security and privacy of the data
Facilitate the onboarding process for new clients, ensuring a smooth transition and integration into Broadridge systems and services
Conduct training sessions for clients on new features, system updates, and best practices for utilizing Broadridge services effectively
Regularly collect and analyze client feedback to identify areas for improvement
Regularly update and maintain a comprehensive Confluence knowledge database, encompassing user guides, one-pagers, FAQs, and manuals
Utilize Jira to track and manage daily client interactions, ensuring efficient handling of inquiries, issues, and requests
Research valuable fund information from official websites,
Maintain databases of collected information by updating/deleting/adding information,
Work closely with team members and product managers to make sure collected information is used efficiently and in line with product development roadmap
Conducts annual due diligence reviews of Third Party Administrators (TPA) and retirement plan customers in coordination with other teams, including our India operations team
Supports compliance team in preparing and responding to external and internal audit document requests on an annual basis
Assists compliance team with new customer compliance reviews, including creating new accounts forms, OFAC reviews, FINRA Broker Check reviews, and collecting insurance and formation documents from customers
Assist with the process to reclassify/exit customers
Works with Trust Operations on customer fee disclosures
Works with legal administrator on legal projects, subpoenas and regulatory requests
Supports the new hire, transfer and termination process for Retirement and Workplace associates and ensures manager access to applications and shared drives is enabled
Oversees quarterly entitlement review process for management team
Conducts Sarbanes Oxley testing on a quarterly basis
Tracks fraudulent checks that are returned via positive pay at JPMorgan Chase
Conducts bi-weekly FinCEN 314(a) and 314(b) reviews
Work with designated leaders to develop a People Plan for Poland based on business and corporate HR strategy
Mentor leaders on performance management issues in line with Broadridge values
Lead employee relations cases and legal matters as needed with support from Operations and People Manager, and partner with the other HRBPs as needed on investigations/resolutions
Maintain compliance with local labour laws as needed – the role will have cross border teams to support
Run the annual performance management process for businesses within Poland and assist leaders on merit and bonus recommendations
Join the compensation team on aligning and mapping our associates to the relevant job families and levels as needed
Identifying learning needs across the business and developing plans to address these
Work alongside Global US based COE in L&D to deliver and / or promote Broadridge University programmes and Broadridge leaders’ University programs. Collaborate with other US based HRBPs
Work with the Operations and People Manager to fully participate/lead global projects and how those are delivered in Poland eg D&I; Great Place to Work associate survey champion; Connected Workplace (our hybrid working approach)
Work with the VP HR as required on M&A due diligence and integration of new acquisitions in Broadridge
Work with the Operations and People Manager and our in house recruiters on talent acquisition for Business Units – both on hiring and further enhance our approach to recruitment
• Coordinate, distribute and monitor firm-level approval letters across our integration providers
• Assist with the establishment, maintenance and advisor mapping associated with integration providers
• Serve as primary support for any production environment integration issues including working directly with development/QA staff and integration provider POCs when necessary
• Monitor ongoing integration provider feeds (at month end and quarter end) and resolve any missing or incorrect feeds working with the provider and/or our development/QA team
• Maintain ongoing relationships with enterprise Business Intelligence clients from a support and data reconciliation perspective
Investment data
• Distribute data license files while serving as POC for any client questions on them
• Maintain recordkeeper fund availability lists in our platforms
• Assist with data collection from providers for multiple product offerings
• Assist with Morningstar data loads and ongoing questions from client support
• Assist with enterprise client custom data loads and processes
Client Services
• Facilitate client custom data file processing
• Manage automated work tasks for data import, reporting, and distribution
Product training
• Assist in the creation of product release notes
• Build and maintain product help articles and videos
Work with designated leaders to develop a People Plan for Poland based on business and corporate HR strategy
Mentor leaders on performance management issues in line with Broadridge values
Lead employee relations cases and legal matters as needed with support from Operations and People Manager, and partner with the other HRBPs as needed on investigations/resolutions
Maintain compliance with local labour laws as needed – the role will have cross border teams to support
Run the annual performance management process for businesses within Poland and assist leaders on merit and bonus recommendations
Join the compensation team on aligning and mapping our associates to the relevant job families and levels as needed
Identifying learning needs across the business and developing plans to address these
Work alongside Global US based COE in L&D to deliver and / or promote Broadridge University programmes and Broadridge leaders’ University programs. Collaborate with other US based HRBPs
Work with the Operations and People Manager to fully participate/lead global projects and how those are delivered in Poland eg D&I; Great Place to Work associate survey champion; Connected Workplace (our hybrid working approach)
Work with the VP HR as required on M&A due diligence and integration of new acquisitions in Broadridge
Work with the Operations and People Manager and our in house recruiters on talent acquisition for Business Units – both on hiring and further enhance our approach to recruitment
Serve as contact for assigned accounts with the primary role of the Client Service Specialist (CSS) being to ensure all day-to-day account administrative and processing needs are completed in an accurate and timely manner based on client directives
Provide a premium level of service to the clients and business partners by researching and responding to their needs in a professional and timely manner
Monitor all reports for compliance and respond in designated timeframe, based on Service Level Agreements (SLAs). Address issues as they arise and escalate if necessary
Partner with other departments and employees as necessary to research, track and resolve day to day account issues keeping appropriate managers apprised of status and escalate as needed. When required, determine approach for resolution of high priority issues and follow up until resolved
Perform additional team duties, responsibilities and project related initiatives as needed or assigned
Maintain a proficient knowledge of job-related systems, documentation, and terminology as well as Broadridge on-line tools and services offered
Continue to look for automation and streamlining opportunities
Responsible for supporting the compliance program for Matrix Financial Solution’s companies. Works closely with the compliance and legal team on administrative tasks and supports all internal and external audits, including, AML independent exam, corporate routine audits, (IT, fiduciary cash, compliance and operations) SOX testing, SOC 1 audits, and Colorado Division of Banking examinations
Conducts with annual due diligence reviews of TPA and retirement plan customers in coordination with India operations team
Supports compliance team in preparing and responding to external and internal audit document requests on an annual basis
Assists compliance team with new customer compliance review, including creating new accounts forms, OFAC reviews, FINRA Broker Check reviews, and collecting insurance and formation documents from customers
Assist with the process to terminate customers
Working with Trust Operations on customer fee disclosures
Works with legal administrator on legal projects, subpoenas and regulatory requests
Supports the new hire, transfer and termination process for Matrix associates and ensures that managers set up access to applications and shared drives. Oversees quarterly entitlement review process for management team
Conducts Sarbanes Oxley testing on a quarterly basis
Tracks fraudulent checks that are returned via positive pay at JPMorgan Chase
Conducts bi-weekly FinCEN 314(a) and 314(b) reviews
Provide world-class customer service by communicating with clients through email, phone, and various other sources of client requests
As one of the largest financial printers, readily identify and service all client needs to fulfill the electronic transmission of their sensitive documents to the SEC
Apply a robust knowledge of SEC guidelines and EDGAR rule specifications to ensure successful client disclosures, which includes continual learning on the job as EDGAR regulations evolve
Daily use of Microsoft suite and internal group of applications
Conversion of documents from various file types including Word, Excel. Powerpoint, and PDF into HTML format
Live submission of documents with the SEC using proprietary Broadridge software
Serve as contact for assigned accounts with the primary role of the Client Service Specialist (CSS) being to ensure all day-to-day account administrative and processing needs are completed in an accurate and timely manner based on client directives
Provide a premium level of service to the clients and business partners by researching and responding to their needs in a professional and timely manner
Monitor all reports for compliance and respond in designated timeframe, based on Service Level Agreements (SLAs). Address issues as they arise and escalate if necessary
Partner with other departments and employees as necessary to research, track and resolve day to day account issues keeping appropriate managers apprised of status and escalate as needed. When required, determine approach for resolution of high priority issues and follow up until resolved
Perform additional team duties, responsibilities and project related initiatives as needed or assigned
Maintain a proficient knowledge of job-related systems, documentation, and terminology as well as Broadridge on-line tools and services offered
Continue to look for automation and streamlining opportunities
• Client facing operational lead for European client Board Reporting projects
• Monitor and coordinate project deliverables for Assessment of Value reports
• Coordinate regular status meetings for European clients with clients, delivery team and other key stakeholders
• Coordinate development of a project plan for each European client for each associate and project, detailing the tasks that need to be completed for each project
• Ensures invoices are completed for European clients
• Oversee and manage Asana workflow system
• Oversee management of update of Confluence for training materials and client specific documentation
• Review and ensure accuracy and updating of project specific documentation
• Creating a specialized document for each client, detailing all customizations made
• Communicating with clients and associates throughout the delivery process to obtain feedback and approval
What you’ll bring to the team…
• Experience in project coordination and client management
• Comfort working with and adjusting to client specific customization
Supplies specialized analysis of funds and fund advice to corporate and/or institutional clients in assessment of performance of a fund manager, specifically related to Section 15(c) of the Investment Company Act of 1940
Performs due diligence, statistical analysis and documentation in support of 15(c) client needs
Implement and explain Broadridge’s 15(c) methodology to both internal and external stakeholders
Manages 15c projects, coordinating of all aspects of report creation, in order to produce in-depth reports
Leads all phases of production and packaging of 15(c) materials
Heavily influences corporate reputation as leading third-party provider of fiduciary reports in the mutual fund industry
Services as primary contact for all internal and external inquires related to client projects
Performs quality control checks on completed projects, as needed
Supplies specialized analysis of funds and fund advice to corporate and/or institutional clients in assessment of performance of a fund manager, specifically related to Section 15(c) of the Investment Company Act of 1940
Performs due diligence, statistical analysis and documentation in support of 15(c) client needs
Implement and explain Broadridge’s 15(c) methodology to both internal and external stakeholders
Manages 15c projects, coordinating of all aspects of report creation, in order to produce in-depth reports
Leads all phases of production and packaging of 15(c) materials
Heavily influences corporate reputation as leading third-party provider of fiduciary reports in the mutual fund industry
Services as primary contact for all internal and external inquires related to client projects
Performs quality control checks on completed projects, as needed
Maintain and populate SQL database with mutual funds, private assets and separate accounts data, apply any price data changes requested by Clients and Product Manager,
Utilize ETL tools like Alteryx to process large data files,
Research official websites and documents to confirm or enrich content of our database
Carry out monthly data checks on stored data
Implement Client/Management new projects in line with GMI Modules product roadmap
Work collaboratively with all data providers to ensure the quality and timeliness of their contributions
Transfer Agent Operations Associate - US Working Hours
Aleja Grunwaldzka 472b, Oliwa, Gdańsk
Wygasła: 09.09.2023
full-time
umowa o pracę
hybrid work
specialist (Mid / Regular)
Obowiązki:
In this role, the Associate will be responsible for the daily processing related to various Transfer Agent activities. Transfer agents are hired by corporations that issue securities (stock). This frees the company from the administrative tasks that accompany managing and tracking shareholder records. The most common service a transfer agent will perform for an issuer is the legal transfer of securities from one owner to another. The hired associate will be responsible for reviewing all paperwork associated with a legal transfer presentation, and the subsequent processing or verification of the transaction. The Associate will be responsible for ensuring all service delivery requirements are met on a daily basis, and will lend assistance to other units within the Transfer Agent organization when required. Additionally, the Associate will assist in system development initiatives when necessary as well assist with special projects as needed
Job Responsibilities:
1. Review, processing and approval of shareholder transfer presentations
2. Work on transfer items received from the Depository Trust Company (DTC performs the functions of a central securities depositary as part of the US Stock market system)
3. Work on special projects within the unit to gain efficiencies and reduce costs
4. Partner with other departments to resolve and remediate day to day issues that may arise
5. Assist with testing requirements resulting from system enhancement initiatives
sting requirements resulting from system enhancement initiatives
Maintain and populate SQL database with mutual funds, private assets and separate accounts data, apply any price data changes requested by Clients and Product Manager,
Utilize ETL tools like Alteryx to process large data files,
Research official websites and documents to confirm or enrich content of our database
Carry out monthly data checks on stored data
Implement Client/Management new projects in line with GMI Modules product roadmap
Work collaboratively with all data providers to ensure the quality and timeliness of their contributions
Handle day-to-day data analysis responsibilities including developing and updating detailed project plans, resolving project and resource conflicts, facilitating solutions across department boundaries, tracking, and communicating progress of multiple concurrent projects, and driving a sense of urgency and dedication across all projects
Manage project schedule, scope
Work closely and seamlessly with multiple departments
Provide clear and concise written and verbal communication
Comfortably facilitates and handles project communication with project team, partners, and senior management
Work closely with multiple departments and teams and drives successful project delivery
Evaluate and summarizes weekly project reports for upper management
Handle multiple projects and assignments
Promptly raise to management any key project risks and issues
- Coordinate, distribute and monitor firm-level approval letters across our integration providers
- Assist with the establishment, maintenance and advisor mapping associated with integration providers
- Serve as primary support for any production environment integration issues including working directly with development/QA staff and integration provider POCs when necessary
- Monitor ongoing integration provider feeds (at month end and quarter end) and resolve any missing or incorrect feeds working with the provider and/or our development/QA team
- Maintain ongoing relationships with enterprise Business Intelligence clients from a support and data reconciliation perspective
Investment data
- Distribute data license files while serving as POC for any client questions on them
- Maintain recordkeeper fund availability lists in our platforms
- Assist with data collection from providers for multiple product offerings
- Assist with Morningstar data loads and ongoing questions from client support
Assist with enterprise client custom data loads and processes
Product training
- Assist in the creation of product release notes
- Build and maintain product help articles and videos
Responsible for the coordination, distribution and monitoring of integration authorization approvals needed to effectively, efficiently, accurately and timely integrate Fi360 solutions with clients’ data from the recordkeepers
Assist with the establishment, maintenance and mapping associated with integration providers
Provide thorough client training and onboarding as needed
Serve as primary support for any recordkeeper/provider integration issues including working directly with product team and data provider points of contact
Acquire a deep understanding of Fi360’s solutions and corresponding policies and be willing to innovate to elevate our clients’ experience with our solutions
Monitor ongoing integration provider feeds (at month end and quarter end) and resolve any missing or incorrect feeds working with the provider and/or our development/QA team
Maintain ongoing relationships with clients from a support and data reconciliation perspective
Build and maintain product help articles and videos
Contribute to team goals in client satisfaction; agent availability; average first response time; integrations volume goals; and other goals and metrics as assigned
Act as a liaison between our clients and the Product Team, providing client feedback that will impact future developmental efforts
Gain an understanding of the Financial Services Industry
Supplement other client engagement activities, as needed
Handle day-to-day data analysis responsibilities including developing and updating detailed project plans, resolving project and resource conflicts, facilitating solutions across department boundaries, tracking, and communicating progress of multiple concurrent projects, and driving a sense of urgency and dedication across all projects
Manage project schedule, scope
Work closely and seamlessly with multiple departments
Provide clear and concise written and verbal communication
Comfortably facilitates and handles project communication with project team, partners, and senior management
Work closely with multiple departments and teams and drives successful project delivery
Evaluate and summarizes weekly project reports for upper management
Handle multiple projects and assignments
Promptly raise to management any key project risks and issues
Guide clients through Broadridge’s custom email communication product offerings
Display successful time management skills and maintain an ability to multi-task Work with a variety of internal applications to provide clients with samples of Broadridge products
Monitor the effectiveness of systems, policies and procedures and make appropriate recommendations to ensure daily operations are efficient
Coordinate testing for process enhancements
Work collectively within a team environment while also managing your own dedicated client deliverables
Maintains a demeanor of professionalism at work and begins to adopt Best Practices
Share ideas for process improvement and process efficiencies
Maintain and populate SQL database with mutual funds, private assets and separate accounts data, apply any price data changes requested by Clients and Product Manager,
Utilize ETL tools like Alteryx to process large data files,
Research official websites and documents to confirm or enrich content of our database
Carry out monthly data checks on stored data
Implement Client/Management new projects in line with GMI Modules product roadmap
Work collaboratively with all data providers to ensure the quality and timeliness of their contributions
Work with data providers to collect monthly data files
Maintain database of mutual funds for a specific market by working with Fund File data team to add / remove funds, companies and to apply any price data changes requested by Clients and Product Manager
Research official websites and documents to confirm or enrich content of our database
Carry out monthly data checks on given market to minimize risk of releasing corrupted data
Support Fund File operations in implementing Client/Management new projects in line with the Fund File and Sales Watch product roadmap
Work collaboratively with all data providers to ensure the quality and timeliness of their contributions
Responsible for tracking and monitoring results of key critical initiatives which support growth – product sales; market sizing assessments; operational efficiency – as well a supporting the development of business case analysis
Manage our internal usage of the Microsoft Business Intelligence tool
Collect and store data on sales results, product adoption, market research, operational effectiveness, or other business areas
Will bring technical expertise to ensure the quality and accuracy of the data, then process, design, and present it in ways to help the Retirement & Workplace Solutions and Fi360 leadership team make better decisions
Identify, analyze, and interpret trends or patterns in complex or incomplete data sets and determine the best way to represent findings visually to leadership and stakeholders
Partner with senior management to develop and execute the strategic agenda, report on results, and make recommendations to further improve the strategy based on quantitative insights
May perform other duties/responsibilities as needed or assigned
Guide clients through Broadridge’s custom email communication product offerings
Display successful time management skills and maintain an ability to multi-task Work with a variety of internal applications to provide clients with samples of Broadridge products
Monitor the effectiveness of systems, policies and procedures and make appropriate recommendations to ensure daily operations are efficient
Coordinate testing for process enhancements
Work collectively within a team environment while also managing your own dedicated client deliverables
Maintains a demeanor of professionalism at work and begins to adopt Best Practices
Share ideas for process improvement and process efficiencies
Handle day-to-day data analysis responsibilities including developing and updating detailed project plans, resolving project and resource conflicts, facilitating solutions across department boundaries, tracking, and communicating progress of multiple concurrent projects, and driving a sense of urgency and dedication across all projects
Manage project schedule, scope
Work closely and seamlessly with multiple departments
Provide clear and concise written and verbal communication
Comfortably facilitates and handles project communication with project team, partners, and senior management
Work closely with multiple departments and teams and drives successful project delivery
Evaluate and summarizes weekly project reports for upper management
Handle multiple projects and assignments
Promptly raise to management any key project risks and issues
Provide world-class customer service by communicating with clients through email, phone, and various other sources of client requests
As one of the largest financial printers, readily identify and service all client needs to fulfill the electronic transmission of their sensitive documents to the SEC
Apply a robust knowledge of SEC guidelines and EDGAR rule specifications to ensure successful client disclosures, which includes continual learning on the job as EDGAR regulations evolve
Daily use of Microsoft suite and internal group of applications
Conversion of documents from various file types including Word, Excel. Powerpoint, and PDF into HTML format
Live submission of documents with the SEC using proprietary Broadridge software
Research valuable fund information from official websites,
Maintain databases of collected information by updating/deleting/adding information,
Work closely with team members and product managers to make sure collected information is used efficiently and in line with product development roadmap,
- Provide world-class customer service by communicating with clients through email, phone, and various other sources of client requests
- As one of the largest financial printers, readily identify and service all client needs to fulfill the electronic transmission of their sensitive documents to the SEC
- Apply a robust knowledge of SEC guidelines and EDGAR rule specifications to ensure successful client disclosures, which includes continual learning on the job as EDGAR regulations evolve
- Daily use of Microsoft suite and internal group of applications
- Conversion of documents from various file types including Word, Excel. Powerpoint, and PDF into HTML format
- Live submission of documents with the SEC using proprietary Broadridge software
Preferred Qualifications:
- Bachelor’s degree or equivalent experience preferred
- At least 6 months in financial printer experience, including 2 years in client/customer service
Delivering support to existing business users and investigating and resolving application errors, data discrepancies and queries
Maintain a strong relationship with outside and internal development teams to accomplish short and long-term Issuer technology roadmap goals
Coordinates and leads application testing and product rollouts for core applications. This includes the full development life cycle
Works with the network services team to resolve connectivity issues, Issuer application server issues and maintenance requests
Works closely with service delivery team in keeping core application infrastructure up-to-date
Manages large and small Issuer application support projects. Includes application “end of life” migrations
Manages procedure documentation. This includes the creation, upkeep and regulatory compliance of said documentation
User management and entitlement process management on all core applications
Continuously evaluates process documentation and implements process improvements based on Issuer quality initiatives
Works closely with Product manager structuring a successful Issuer technology roadmap for core business applications
Receiving and logging requests for support from users
Manages support relations with outside vendors of core applications
Monitor team members' participation to ensure the training they are being provided is being put into use, and also to see if any additional training is needed
• Supports colleagues in the creation of benchmarking reports that analyze mutual fund costs, performance and risk,
• Ability to work with and understand financial reports, interpret data, identify outlier data,
• Ability to validate mutual fund data versus source documents (prospectus, SAI, annual report) using regulatory documents for research,
• Assists key stakeholders within team in the creation of reports including analyzing data, setting up projects in software, QC of reports, and supports administrative tasks,
• Perform other duties, as assigned
Key Competencies:
• Ability to manage multiple data sets within Excel,
• Ability to review and analyze data for accuracy and ability to interpret data,
• Strong attention to detail with ability to quality check data versus multiple sources,
• Strong written and oral communication skills,
• Must be able to work in a fast-paced environment under strict time-deadlines,
• Willing and able to work with a team,
• Excel, Word, InDesign, PowerPoint, Acrobat experience preferred,
• Detail-oriented,
• Critical thinking and problem-solving skills, i.e. the ability to make decisions and assess risk,
• Strong organizational skills,
• Able to build and maintain relationships internally and externally
Maintain our Funds Database to ensure good quality of client's data;
Cooperate with other team members to deliver product as a whole, in line with quality measurements and Broadridge standards;
Carry out basic monthly data checks
Work with product director to ensure data is accurate and timely and product and operations is evolving in conjunction with the FundFile product roadmap
• Supports colleagues in the creation of benchmarking reports that analyze mutual fund costs, performance and risk
• Ability to work with and understand financial reports, interpret data, identify outlier data
• Ability to validate mutual fund data versus source documents (prospectus, SAI, annual report) using regulatory documents for research
• Assists key stakeholders within team in the creation of reports including analyzing data, setting up projects in software, QC of reports, and supports administrative tasks
• Perform other duties, as assigned
Key Competencies:
• Ability to manage multiple data sets within Excel
• Ability to review and analyze data for accuracy and ability to interpret data
• Strong attention to detail with ability to quality check data versus multiple sources
• Strong written and oral communication skills
• Must be able to work in a fast-paced environment under strict time-deadlines
• Willing and able to work with a team
• Excel, Word, InDesign, PowerPoint, Acrobat experience preferred
• Detail-oriented
• Critical thinking and problem-solving skills, i.e. the ability to make decisions and assess risk
• Strong organizational skills
• Able to build and maintain relationships internally and externally
- Help manage Broadridge business relationship with client, problem resolution, escalation, and communications
- You will facilitate and participate in business process training and fundamentals of product functionality
- Create and maintain procedural documentation related to Broadridge client processes
- Direct ongoing contract administration and oversight of in-scope contracts and agreements
- Responsible for directly interfacing with clients for retention initiatives, ensuring successful execution of Broadridge solutions
- Lead the completion of client surveys and questionnaires highlighting progress to the client and account manager
Client Deliverables:
- Manage client deliverables ensuring delivery of insight reports and coordinate the delivery of client presentations and on call time
- Provide clear communication/escalation follow up and closure to business impacting events involving multiple Broadridge teams and external partners
Management Information:
- Ensure that the client and sales databases are kept up to date to enable the team to understand the business. These include tracking contracts, products, spend, client distribution lists and meetings. Provide analysis from these databases to support business objectives
- Create and maintain an accurate log of subscription ‘Wins and Losses’
Distribution Insight:
- Support the evolution and development of the Distribution Insight platform to our clients
- Maintain an accurate log of DI permissions updating the platform as contracts fluctuate
Sales support:
- Provide support to the sales team to enable the smooth creation and execution of contracts with clients
Work with data providers to collect monthly data files
Maintain database of mutual funds for a specific market by working with Fund File data team to add / remove funds, companies and to apply any price data changes requested by Clients and Product Manager
Research official websites and documents to confirm or enrich content of our database
Carry out monthly data checks on given market to minimize risk of releasing corrupted data
Support Fund File operations in implementing Client/Management new projects in line with the Fund File and Sales Watch product roadmap
Work collaboratively with all data providers to ensure the quality and timeliness of their contributions
This is an opportunity for an individual looking to have core responsibility for creating charts and tables to power key Broadridge publications and reports using in-house databases, and to assist in building visually engaging publications and reports using a combination of the Adobe Creative and Office suites. The position will involve working alongside colleagues in Europe, Asia and America. A strong candidate will also have previous experience with Adobe Creative Suite/Cloud as related tasks will include updating InDesign report layouts/templates as necessary and assisting colleagues with PowerPoint presentations. Together these efforts support Broadridge’s Distribution Insights service, providing data and analysis to asset managers worldwide
Ogłoszenie Archiwalne
Ogłoszenie Archiwalne
Data Architect
Aleja Grunwaldzka 472b, Oliwa, Gdańsk
Wygasła: 07.10.2022
full-time
umowa o pracę
hybrid work
senior specialist (Senior)
Obowiązki:
In this role, you will support an emerging FinTech product line within Broadridge and you will have a direct impact on the expansion of one of our key growth initiatives. For this role, you'll be self-motivated, detail oriented, and creative, with relevant experience supporting a Software-as-a-Service (SaaS) solution
If you're passionate about technology and are looking to be a part of a growing and dynamic Fin Tech team, we urge you to read below
· You will coordinate with Senior Director and other senior engineers to establish consistent software architecture guidelines and standard methodologies for the software development team
· You will provide technical expertise and leadership to more junior levels of the software engineering staff
· You will work with product line managers, business users, and other members of the team to understand software requirements and author code that satisfies those requirements
· You will work together with our customer support by analyzing and correcting reported problems in a timely manner
· You will produce high quality code developed using computer science principals
· You will stay informed of/follows all relevant Broadridge security policies to ensure the security and privacy of data
This is an ideal opportunity for an individual with a proven background in editing to contribute towards the timely and professional production of various Broadridge publications, while also developing and applying a deeper knowledge of the asset-management industry. It would be particularly suited to an early-career financial journalist, investment writer or fund analyst looking for an opportunity to write about and examine industry trends that will influence asset managers’ business decisions
The successful candidate will play a crucial role in editing and proofreading a variety of regular client-facing reports focussed on fund sales, distribution and product development, as well as preparing data for these. The candidate will collaborate with senior editorial colleagues, graphic designers, and contributors to ensure smooth delivery of these services. They will need to be comfortable working in small teams, and to defined deadlines
Ogłoszenie Archiwalne
Ogłoszenie Archiwalne
Client Management Associate
Aleja Grunwaldzka 472b, Oliwa, Gdańsk
Wygasła: 09.09.2022
full-time
umowa o pracę
hybrid work
specialist (Mid / Regular)
Obowiązki:
Client Management:
- Help manage Broadridge business relationship with client, problem resolution, escalation, and communications
- You will facilitate and participate in business process training and fundamentals of product functionality
- Create and maintain procedural documentation related to Broadridge client processes
- Direct ongoing contract administration and oversight of in-scope contracts and agreements
- Responsible for directly interfacing with clients for retention initiatives, ensuring successful execution of Broadridge solutions
- Lead the completion of client surveys and questionnaires highlighting progress to the client and account manager
Client Deliverables:
- Manage client deliverables ensuring delivery of insight reports and coordinate the delivery of client presentations and on call time
- Provide clear communication/escalation follow up and closure to business impacting events involving multiple Broadridge teams and external partners
Management Information:
- Ensure that the client and sales databases are kept up to date to enable the team to understand the business. These include tracking contracts, products, spend, client distribution lists and meetings. Provide analysis from these databases to support business objectives
- Create and maintain an accurate log of subscription ‘Wins and Losses’
Distribution Insight:
- Support the evolution and development of the Distribution Insight platform to our clients
- Maintain an accurate log of DI permissions updating the platform as contracts fluctuate
Sales support:
- Provide support to the sales team to enable the smooth creation and execution of contracts with clients
You will coordinate with Senior Director and other senior engineers to establish consistent software architecture guidelines and standard methodologies for the software development team
You will provide technical expertise and leadership to more junior levels of the software engineering staff
You will work with product line managers, business users, and other members of the team to understand software requirements and author code that satisfies those requirements
You will work together with our customer support by analyzing and correcting reported problems in a timely manner
You will produce high quality code developed using computer science principals
You will stay informed of/follows all relevant Broadridge security policies to ensure the security and privacy of data
Demonstrates creative problem solving skills, dedication to excellence, and has an ambitious spirit
Work with data providers to collect monthly data files,
Maintain database of mutual funds for a specific market by working with Fund File data team to add / remove funds, companies and to apply any price data changes requested by Clients and Product Manager,
Research official websites and documents to confirm or enrich content of our database,
Carry out monthly data checks on given market to minimize risk of releasing corrupted data,
Support Fund File operations in implementing Client/Management new projects in line with the Fund File and Sales Watch product roadmap,
Work collaboratively with all data providers to ensure the quality and timeliness of their contributions
Supplies specialized analysis of funds and fund advice to corporate and/or institutional clients in assessment of performance of a fund manager, specifically related to Section 15(c) of the Investment Company Act of 1940
Performs due diligence, statistical analysis and documentation in support of 15(c) client needs
Implement and explain Broadridge’s 15(c) methodology to both internal and external stakeholders
Manages 15c projects, coordinating of all aspects of report creation, in order to produce in-depth reports
Leads all phases of production and packaging of 15(c) materials
Heavily influences corporate reputation as leading third-party provider of fiduciary reports in the mutual fund industry
Services as primary contact for all internal and external inquires related to client projects
Performs quality control checks on completed projects, as needed
Research valuable fund information from official websites,
Maintain databases of collected information by updating/deleting/adding information,
Work closely with team members and product managers to make sure collected information is used efficiently and in line with product development roadmap
Assist with the management and administration of our CCR’s (Client Contact Reports)
Manage the tracking of client service selection and delivery of sed selections
Participate in key client contract definition, negotiation, and finalization activities
Support the team by directly interfacing with clients for retention initiatives, ensuring successful execution of Broadridge solutions
Support Broadridge business relationship with client, problem resolution, escalation, and communications
Lead on the handling of Client Survey requests, working directly with our dedicated team to complete in a timely manner whilst providing regular updates to the client
Client deliverables:
Manage client deliverables ensuring delivery of insight reports and coordinate the delivery of client presentations and on call time
Provide clear communication/escalation follow up and closure to business impacting events involving multiple Broadridge teams and external partners
Management Information:
Ensure that the client and sales databases are kept up to date to enable the team to understand the business. These include tracking contracts, products, spend, client distribution lists and meetings. Provide analysis from these databases to support business objectives
Assist in the development and production of daily/monthly management reporting
Track services won and lost across our business
Sales Support and Reporting:
Provide support to the sales team to enable the smooth creation and execution of contracts with clients
Direct ongoing contract administration and oversight of in-scope contracts and agreements
Ensure the management team have necessary sales reports from BroadForce for various management and sales calls
Distribution Insight:
Support the evolution and development of the Distribution Insight platform to our clients. Responsible for the upload and allocation of our services through the platform to our clients
You will facilitate and participate in business process training and fundamentals of product functionality
Develop and maintain procedural documentation related to Broadridge client processes
Collect quality data with a focus on informative and operational data (static data), yield figures, portfolio data, regulatory and all the relevant documents required for the business
Monthly monitoring, completing and uploading of data collected
Quality checks to ensure that high quality data is being delivered
Represent the company in a professional and knowledgeable manner when dealing with clients and enquiries
Liaise with Asset Management and platform clients in both telephone and in writing
Report any technical incidents, data discrepancies and client data problems to internal and external stakeholders
Sign new data clients
Work along with peers to ensure all the documentation and data is up to date
Assist the commercial team with fund mappings providing detailed insights about the coverage check in both, product range and data points
Understanding the client’s needs from a data point of view
Maintain our Funds Database to ensure good quality of client's data;
Cooperate with other team members to deliver product as a whole, in line with quality measurements and Broadridge standards;
Carry out basic monthly data checks
Work with product director to ensure data is accurate and timely and product and operations is evolving in conjunction with the FundFile product roadmap
Run and maintain small business projects connected with adding fields/characteristics demanded by the market;