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Shareholder Services Manager

  • Location: New York, New York
  • Type: Direct Hire
  • Job #600
  • Salary: $130,000

Shareholder Services Manager

Location: New York, NY (Hybrid – Remote)

The Organization: Top-Ranked Asset Management Company 

Salary & Benefits: Base salary up to $150K and generous Performance Based Commission; daily Seamless credit; Medical, Dental and Vision Coverage; Transit Program; generous Paid Time Off; 401K w/ very competitive match program; noted firm with historical stability, security and career growth.

Summary: Seeking a Shareholder Services Manager to provide excellent shareholder support, team coaching and instruction. This role will be responsible for overseeing the mutual fund transfer agency relationships, the inbound call line and leadership support to ensure seamless functionality.

Key Responsibilities:

  • Responsible for proper coverage of the inbound phone lines through the organization of phone representatives’ calendars and rotations
  • Develop and mentor others on shareholder communication plans; train on how to provide shareholders with satisfactory experiences with the company
  • Communicate with shareholders effectively during inbound calls and effectively impart tactics to team members
  • Maintain the ability to discuss various Fund specific questions: portfolio holdings, commentaries, NAVs, how to open an account and more
  • Help fulfill shareholder requests through the monitoring of emails being sent out by the Shareholder Services team
  • Assist with compliance measures and filing official complaints
  • Manage courtesy call out reaches in the instances of escheatment, fund closures and more
  • Organize annual conference registrations that come through the ACD line and general inbox
  • Supervise the transfer of mutual funds between shareholders and the agency vendor Call Center
  • Responsible for leading the de-escalation process and act as the vendor liaison during various customer interactions
  • Monitor, analyze and report Service-Level Agreement (SLA) status on a monthly and quarterly basis
  • Assess the quality of calls each month to enhance vendor communication to avoid potential long-term issues
  • Categorize, prioritize and review vendor performance reports weekly with the assistance of the vendor and management,  if needed
  • Track and evaluate shareholder/broker complaint statistics on a weekly and monthly basis in order to showcase areas of improvement for vendor communications; report on volume, categories and trends 
  • Spearhead the company’s benchmarking procedures to assure current practices are aligned with industry standards; utilize quarterly conference calls (ICI) to gage proper evaluations and enhancements
  • Develop new and competitive strategies to maintain industry standards while eliminating costs and strengthening client/shareholder relationships
  • Provide feedback and suggestions on department performance annually; offer feedback and recommendations for improvement


  • 5+ years experience in the financial services industry 
  • Bachelor’s Degree; Finance or Economics major preferred
  • Series 7 required and 63 required
  • Proficient in Microsoft office products
  • Transfer Agency and/or Call center management experience preferred  
  • Maintain a high level of attention to detail while ensuring deadlines are met
  • Exceptional communication and listening skills
  • Demonstrate successful experience in financial product/mutual fund sales
  • Proven ability to organize and manage a diverse range of projects, prioritizing multiple tasks with competing deadlines (at times in high-pressure situations)