To be considered for this position, please apply by January 14, 2013. Please note that the closing date may change.
Actively participate in the goal of Shareholder Services, which is to ensure it delivers the highest level of service to all its stakeholders. Primary stakeholders are Investors, Sales Team, Issuers, Broker/Dealers and Financial Advisors. Strengthen and maintain key internal and external relationships in other departments within CNL Capital Markets Corp. and CNL Securities Corp., Issuers, Tax Dept., Office of General Counsel, the Transfer Agent (TA), specific Broker/Dealer back offices, Custodians and Clearing Firms. Foster a team environment within Shareholder Services that leads to success.
The primary responsibilities include: Liaison and Content Expert of Transfer Agent processing functions and oversight of such; Monitor TA Compliance and Regulatory issues in these areas; manage escalated issues; Liaison to Issuers, Broker/Dealers, Custodians, Clearing firms, and internal departments (e.g. accounting and tax).
Essential Job Functions
Provide oversight, act as content expert and ensure established procedures are adhered to by the TA when processing functions such as distributions, DRP and redemptions.
Act as back up for other Shareholder Services functions such as new business and commissions.
Provide oversight, act as content expert and ensure established procedures are adhered to by the TA processing of annual tax forms, lost shareholders, escheatment, TIN certifications, B and C notices.
Provide oversight, act as content expert and ensure established procedures are adhered to by the TA when coordinating statement set up, quarterly mailings, establishing edelivery and suppression of paper.
Act as back up between Broker/Dealers and clearing firms participating in level 3, broker controlled accounts and 3rd party Investor Communications Company.
Contact, establish, maintain and strengthen relationships with other external parties such as custodians, escrow agents, clearing firms, the TA, financial advisors, Broker/Dealers, etc.
Participate in department, cross-department and cross-company projects and be responsible for deliverables as required.
Provide routine ad hoc research and reporting to accounting, tax groups and others as requested.
Participate in internal and 3rd party audits as well as legal requests and fulfill requests within given timeframe.
Advanced understanding and actively compliant with all known and applicable rules and guidelines set forth by CNL Securities Corp., FINRA, SEC, CNL Legal, IRS, federal acts, NASAA, the REITs, BDC and any applicable regulatory body or organization.
Manage escalated issues from all sources by proactively and reactively problem-solve, identify complex problems, research and conduct necessary steps to bring resolution.
Provide internal and external Shareholder Services training as necessary.
Create, maintain, and improve upon procedures for each process.
Create and maintain spreadsheets using formulas, pivot tables, etc.
Keep current with and communicate policy changes, details of Issuer events, Issuer filings, etc.
Mentor and assist in coaching associates in Shareholder Services as needed and positively influence them towards the goals of the department.
Identify gaps in and exhibit continuous improvement mindset of customer service delivery process and communication.
Meet multiple, simultaneous deadlines on a consistent basis.
Proven excellent interpersonal skills.
Proactive and solution-oriented; flexible and change-oriented.
Excellent telephone, written and oral communication skills.
Proven organizational, prioritization, detail-oriented and follow-up skills.
Proactive mindset, cause and effect thinker.
Time management; ability to meet deadlines under pressure; ability to multi-task.
Handle confidential company information.
Proven strong computer skills in Internet, Word and Outlook.
Advanced Excel experience.
Other internal applications to be used: Transfer Agent System, Salesforce.com, Imaging and Workflow system.
Education & Experience Requested
Four year ollege degree or five to 10 years equivalent business experience required.
Four-plus years financial services experience required.
Four-plus years previous management or supervisory experience required
Two-plus years vendor (3rd party) experience required.
Four-plus years working in or closely with FINRA Broker Dealer firms preferred.
Two-plus years working in or closely with a transfer agent or transfer agency services preferred.
Two-plus years in non-traded REIT industry preferred.
This is not a securities licensed position.
Work Schedule Requested
Typical work week is 8:00-5:00 with a one hour lunch.
Occasional travel may be required.
CNL Financial Group, Inc. - 14 months ago