Account Services Manager: Client Ops & Process Leader

Ultimus Fund Solutions; Cincinnati (OH); On-site; USD 80,000 - 110,000; Full time

Job summary

Ultimus Fund Solutions seeks a Manager, Account Services to lead the Transfer Agent Operations Team, partnering with clients, brokers, and internal stakeholders to ensure accurate, timely processing and service excellence.

The role focuses on developing team members, refining workflows, ensuring regulatory compliance (SEC, IRS, FINRA/NICSA), and driving process improvements while maintaining strong client relationships and accountability.

Qualifications

• Bachelor’s degree in business administration or a related field.
• 6+ years of experience in client services or a related field.
• 1-2 years of management and leadership experience.
• Experience within the financial services industry.
• Series 6 or 7 license.

Responsibilities

• Oversee the Transfer Agent Operations Team ensuring timely transaction processing.
• Interpret fund prospectuses and ensure accurate processing.
• Develop detailed procedures and instructions for the processing team.
• Authorize processing exceptions per management guidelines.
• Ensure compliance with SEC, NICSA, and FINRA regulations and tax reporting.

Skills

Leadership

Communication

Problem solving

Analytical thinking

Strategic thinking

Time management

Education

Bachelor’s degree in business administration

Series 6 or 7 license

Tools

Microsoft Office

Adobe Acrobat

Job description

Ultimus Fund Solutions seeks a Manager, Account Services to lead the Transfer Agent Operations Team, partnering with clients, brokers, and internal stakeholders to ensure accurate, timely processing and service excellence.

The role focuses on developing team members, refining workflows, ensuring regulatory compliance (SEC, IRS, FINRA/NICSA), and driving process improvements while maintaining strong client relationships and accountability.