Associate III, Securities Operations(Dealer Services / Main Office Services (MOS))

Job Posting Description

Are you curious, motivated, and forward-thinking? At FIS, you’ll have the opportunity to work on some of the most challenging and relevant issues in financial services and technology. Our talented people empower us, and we believe in being part of a team that is open, collaborative, entrepreneurial, passionate and above all fun.

About the team

The Transfer Agency (TA) function is a core operational division responsible for end‑to‑end transaction processing, record keeping, and shareholder servicing for mutual fund and investment management clients. The team supports the full lifecycle of investor and distributor activity, ensuring accuracy, timeliness, and regulatory compliance across all transaction and servicing functions.

Within TA, the Dealer Services / Main Office Services (MOS) team acts as a critical interface between fund managers, intermediaries, distributors, platforms, and internal operations teams. The group enables seamless transaction flow, data integrity, and issue resolution across multiple servicing channels.

At FIS, we deliver client and intermediary support through multiple channels including transaction processing, workflow tools, chat, email, and telephonic interactions. Services include but are not limited to - account setup, shareholder and dealer data maintenance, transaction management, reconciliations, reporting, and overall record keeping, while maintaining high service levels and client satisfaction.

What you will be doing:

The Specialist role requires strong business and operational knowledge, with the ability to function as a subject matter expert while independently resolving moderate to complex operational issues. This individual acts as a key support resource to the direct leader in managing day‑to‑day operational functions and is expected to exercise sound judgment, apply acquired knowledge, and take ownership of outcomes. The role demands a high level of accountability, independence, and proactive engagement to ensure service level commitments and business objectives are consistently met.

• Act as a subject matter expert for the team by independently researching and resolving complex, non‑routine, and escalated operational issues.
• Serve as a resource to the direct leader by supporting day‑to‑day operational oversight and contributing to the effective execution of operational priorities.
• Perform work independently with minimal guidance, following defined procedures to complete moderate to complex assignments that may vary in nature.
• Exercise judgment using acquired skills and business knowledge to assess situations, identify issues, and recommend or execute corrective actions, particularly in unique or non‑standard scenarios.
• Support daily operational deliverables by allocating work across resources, monitoring shared and individual work baskets, and ensuring all tasks are completed within defined SLAs.
• Proactively monitor workflows to identify process gaps, issues, processing errors, or potential SLA and data privacy incidents, and escalate concerns to management in a timely manner to enable prompt resolution.
• Deliver a high standard of service to clients and their clients (back‑office firms / broker‑dealers) through various channels of communication, including email and phone.
• Address client and internal inquiries and perform account maintenance to ensure accuracy of records related to account owners, back‑office firms, and associated entities.
• Assist customers by initiating and managing payment investigations, maintenance requests, fulfillment requests, and fee reversals.
• Collaborate effectively with internal teams and external clients to resolve outstanding issues, comply with customer requests, and respond to inquiries in a timely and professional manner.
• Follow up as required to ensure prompt resolution of client inquiries and escalated situations.
• Interface with clients to understand current and future servicing needs, provide status updates, and discuss progress toward resolution.
• Ensure service expectations are consistently met by establishing rapport with requestors and back‑office firms and setting clear expectations for account‑related and servicing requests.
• Complete all assigned tasks and transactions accurately and within established timelines, demonstrating strong ownership, attention to detail, and accountability for individual work.
• Maintain comprehensive knowledge of MOS division services, products, policies, and procedures, and remain current on changes to existing processes.
• Participate, as required, in business reviews to gain insight into clients’ strategic direction and better understand product and service offerings.
• Identify opportunities for process improvement by evaluating existing workflows, highlighting gaps or inefficiencies, and recommending practical solutions that enhance operational efficiency, accuracy, and service quality.
• Perform other related duties as assigned to support operational and business objectives.

What you bring:

• 5 to 6 years of experience from Mutual Fund / Financial Services background
• Strong knowledge of Transfer Agency operations is mandatory, with hands-on experience across transaction processing, record keeping and shareholder servicing.
• Working knowledge of Dealer Services / MOS is an added advantage.
• Excellent knowledge of Customer Services; Global mindset (Desirable)
• Ready to work in night shifts (5 days in a week)
• Ready for rotational shifts

What we offer you:

A career at FIS is more than just a job. It’s the change to shape the future of fintech. At FIS, we offer you:

• A voice in the future of fintech
• Always-on learning and development
• Collaborative work environment
• Opportunities to give back
• Competitive salary and benefits

Privacy Statement

FIS is committed to protecting the privacy and security of all personal information that we process in order to provide services to our clients. For specific information on how FIS protects personal information online, please see the Online Privacy Notice.

Sourcing Model

Recruitment at FIS works primarily on a direct sourcing model; a relatively small portion of our hiring is through recruitment agencies. FIS does not accept resumes from recruitment agencies which are not on the preferred supplier list and is not responsible for any related fees for resumes submitted to job postings, our employees, or any other part of our company.

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