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Mutual Fund Licensing Assistant
2 months ago
Job Summary
We are seeking a highly organized and detail-oriented Registration Support Specialist to join our team at Transamerica. As a key member of our registration team, you will play a critical role in facilitating and supporting initial, reactivation, and reinstatement applications for mutual funds licenses.
Key Responsibilities
- Facilitate and support initial, reactivation, and reinstatement applications for mutual funds licenses, ensuring timely and accurate processing.
- Follow-up and document National Registration Database (NRD) submissions, including outside business activity (OBAs), address updates, financial disclosures, etc.
- Enter and record mutual fund registration terminations in the system and notify necessary parties.
- Perform NRD annual renewals, ensuring compliance with regulatory requirements.
- Participate in the Annual Disclosure process, providing support and guidance as needed.
- Update NRD training documentation, ensuring accuracy and relevance.
- Update various internal systems, ensuring data integrity and consistency.
- Respond to inquiries from field, internal, and external staff and regulatory bodies, providing timely and accurate information.
- Provide administrative support to field agents, and internal and external staff, as needed.
- Follow file management and record management procedures, ensuring compliance with regulatory requirements.
- Draft standard and non-standard correspondence, as required.
- Initiate and participate in process and database improvements, identifying opportunities for efficiency and effectiveness.
- Act in a registration support capacity for the Compliance department, providing support and guidance as needed.
- Support projects and audits, as requested.
Requirements
- Two years of experience in an administrative support or related role.
- Excellent written and verbal communication skills.
- Interpersonal and customer service skills to build relationships with internal and external contacts.
- Excellent organizational and multi-tasking skills.
- Attention to detail.
- Ability to work independently and as part of a team in a fast-paced environment.
- Proficiency using MS Excel, Word, Outlook, PowerPoint.
Preferred Qualifications
- Post-secondary education in a business field.
- Experience in the insurance and/or mutual fund industry.
- Experience with National Registration Database (NRD).
Working Conditions
- Office or hybrid office/remote environment.
What We Offer
For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees.
Compensation Benefits
- Competitive Pay.
- Bonus for Eligible Employees.
Benefits Package
- Pension Plan.
- 401k Match.
- Employee Stock Purchase Plan.
- Tuition Reimbursement.
- Disability Insurance.
- Medical Insurance.
- Dental Insurance.
- Vision Insurance.
- Employee Discounts.
- Career Training & Development Opportunities.
Health and Work/Life Balance Benefits
- Paid Time Off starting at 160 hours annually for employees in their first year of service.
- Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays).
- Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars.
- Parental Leave – fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of service at the time of birth, placement of an adopted child, or placement of a foster care child.
- Adoption Assistance.
- Employee Assistance Program.
- College Coach Program.
- Back-Up Care Program.
- PTO for Volunteer Hours.
- Employee Matching Gifts Program.
- Employee Resource Groups.
- Inclusion and Diversity Programs.
- Employee Recognition Program.
- Referral Bonus Programs.
- Peer Recognition Program (BRAVO).
