Our Client, a Highly Regarded Investment Management firm is seeking a Shareholder Services Manager that will be Responsible for effectively managing the daily performance, production, continued development and the success of the firm. Effectively organize Shareholder Service Team priorities to meet established goals that align with the firm’s core principles.

Key Responsibilities

  • Manage staff to ensure that investors, brokers and dealers are receiving accurate, courteous, timely and efficient service.
  • Work with the management team to develop a service strategy that delivers success.
  • Make employment decisions including both hiring and termination decisions.  Manage the staff performance appraisal process.
  • Forecast and plot volumes in order to ensure that departmental standards are met.  Proactively manage staffing, including offline time and vacation.
  • Ensure that all associates are aware of service strategies, marketing and sales initiatives and product and corporate promotions.
  • Remain up to date on industry practices and maintain a thorough knowledge of our clients’ products. Work closely with the Legal and Compliance team on regulatory cases that may be either routine or complex. Ensure that department functions adhere to federal and state regulations.
  • Ensure that management is kept aware of department progress towards individual and department goals and of the overall effectiveness of the group.
  • Maintain a positive and productive work environment for associates.
  • Assist with the management and oversight of the firm’s vendors.
  • Continuously develop the front line representatives by providing coaching, feedback and mentoring. Facilitate training, including team and inter department training such that superior service delivery and career advancement is achieved.  Create programs to support and reward high performance.
  • Implement quality service initiatives, which retain existing investor assets and attract new assets for firm’s clients.
  • Recommend and implement new policies, procedures and workflow approaches or other methods for working closely with clients in order to proactively develop efficiencies and improve customer satisfaction.
  • Other duties as assigned.


  • Bachelor’s degree or comparable job experience.
  • 2+ plus years of management experience in the financial services industry, either in a supervisory capacity or in a role that required leadership skills in a customer facing environment.
  • Series 6, 63 and 26 within 12 months of hire.
  • Exceptional writing and editing skills with the ability to create clear and concise content.
  • Strong knowledge of the mutual fund industry and its regulations.
  • Fluent in all aspects of mutual funds processing and telephone service delivery; knowledge of NSCC trading/reconciliation a plus.
  • The ability to lead others, troubleshoot and resolve complex account problems.
  • Detail oriented, self-motivated and exhibits a passion for service excellence.
  • Strong interpersonal and oral communication skills, including the ability to provide constructive feedback to direct reports.
  • The ability to adapt and work well in a constantly changing, fast-paced team environment.

Please send resumes to Heather Johnson at Heather@compliancesearch.com

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