Job Summary
As a Fund Service Support– Associate (Associate) in Asset Management Operations, you support end-to-end mutual fund order processing and account documentation review with a strong focus on accuracy, timeliness, and client experience. You work directly with clients and client advisors to validate instructions, close documentation gaps, and confirm transactions. You manage cut-off–sensitive workflows and exceptions while meeting risk and control requirements. You also help strengthen processes, documentation, and training so the team can scale and improve.
We are operations team that partners closely with client-facing colleagues, control functions, and external vendors to deliver reliable transaction outcomes. You’ll collaborate across functions, handle time-sensitive queues, and contribute to continuous improvement initiatives that reduce friction for clients and advisors.
Job responsibilities
- Process mutual fund orders received via phone, fax, and mail, validating instruction completeness (fund/share class, transaction type, and settlement details)
- Review account opening and account maintenance documentation, following up to resolve missing, incorrect, or inconsistent items
- Communicate with clients and client advisors to track outstanding documents and drive items to completion through trade settlement
- Perform client call-backs to confirm orders and meet risk and control requirements
- Manage cut-off–sensitive processing and late-trade exceptions, ensuring required documentation, approvals, and clear client communication
- Provide timely updates on order status, documentation gaps, and transaction issues, coordinating end-to-end resolution
- Investigate and resolve returned remittances, wires, or refunds, coordinating corrective actions and client updates
- Calculate and/or verify trailer fees and contingent deferred sales charges (CDSC), maintaining clear supporting records
- Complete audit and control checks, explain workflows as needed, and maintain Standard Operating Procedures (SOPs) as processes change
- Partner with vendors, control functions, and stakeholders to deliver business and process requirements
- Serve as a subject matter expert, supporting training, knowledge sharing, and materials that improve team capability
Required qualifications, capabilities, and skills
- Bachelor’s degree in any discipline, or demonstrable understanding of financial markets and investment products
- Proficiency in spoken and written English and Mandarin
- Securities and Investment Trust Consulting Association (SITCA) License or Senior Brokerage License
- Demonstrated client-service mindset with professional communication and follow-through
- Strong attention to detail, with the ability to validate instructions and documentation accurately
- Strong problem-solving skills and sound judgment to resolve exceptions and documentation deficiencies
- Ability to prioritize and meet strict deadlines in a cut-off–driven environment
- Ability to work independently and manage tasks end-to-end
- Strong risk and control mindset, including timely escalation when needed
Preferred qualifications, capabilities, and skills
- Experience processing mutual fund subscriptions, redemptions, and switches in an operations or dealing environment
- Experience supporting account opening and account maintenance documentation for investment accounts
- Familiarity with fee calculations and transaction-related charges (including trailer fees and CDSC)
- Experience updating SOPs and delivering process training to internal stakeholders
- Experience partnering with vendors and cross-functional teams to implement process improvements
- Comfort presenting workflow changes or operational insights in team forums and stakeholder meetings
- Track record of identifying efficiency opportunities and improving productivity through better processes or controls