What are the responsibilities and job description for the Operations Associate position at Stephens?
ESSENTIAL DUTIES AND RESPONSIBILITIES
- Monitor Cash Management of SIMG accounts for daily cash flows.
- Check updates to our order management system (Charles River Development "CRD") to ensure that each SIMG account has been reconciled between our middle-back office (SEI) and CRD to provide our portfolio managers with the available cash each day.
- Support SIMG portfolio management on operations side, including cash management, reporting from Bloomberg and Factset and other duties as needed.
- Work with clients to obtain information required to open new accounts.
- Set up new accounts with SEI, CRD and custodian to ensure reconciliations and compliance.
- Enter information into SIMG’s customized software and follow up to ensure the information has been received and is ready for respective activity.
- Function as an Operations Liaison for SIMG with third party vendors such as Charles River, SEI, etc. to troubleshoot and resolve issues.
- On a weekly basis provide Portfolio Managers with list of upcoming proxy meetings and recommendations for review, and provide them with any requested research.
- Review monthly and quarterly SEI Statements and provide to Marketing Manager for distribution.
- Review SEI client invoice calculations for accuracy and provide to Marketing Manager.
- Run proxy voting reports from ISS for distribution to clients and monitor the Master Account List (MAL) at ISS for any changes or delays in receiving ballots.
- Create Proxy voting reports for quarterly Board meetings of SIMG.
- Maintain Trade Error file, Customer Complaint Log, ADV Log, BCP Log, Financials Log.
- Maintain complaint reports, log them and provide detailed report for SIMG Quarterly Board of Managers’ Meetings.
- Provide quarterly compliance updates as required.
- Review marketing materials for accuracy.
- Provide back up and support of Operations functions in Little Rock.
- Perform any other related duties as required or assigned.
- Bachelor's degree in a related field.
- 1 years of related experience and/or training.
- Equivalent combination of education and experience.
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