Mutual Fund Resume Sample

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Helga Windler
298 Ruecker Forks,  Philadelphia, PA
+1 (555) 806 2238

Work Experience

Director, Mutual Fund Research
08/2017 - PRESENT
Dallas, TX
  • Receives phone calls from mutual fund companies regarding trades, networking, balancing items that have rejected or pended
  • Manually places trades for funds that are not Fund/SERV eligible; this includes phone in orders and mail order redemptions. Verifies trade reports from previous day, prepares tickets for billing, and manually makes settlement entries to trade corrections and manually placed trades
  • Reconciles dealer, clearing and, suspense account balances
  • Monitors and works various exception and fail reports
  • Process networking and broker/dealer change requests
  • Acts as a liaison with various mutual fund companies on trading/networking problems
  • Ensures that accounts are in balance with that of the mutual fund company
Mutual Fund Trader
09/2013 - 03/2017
Chicago, IL
  • Oversee Mutual Fund and UIT trade and account activity to ensure all actions adhere to regulatory rules as well as specific fund family and sponsor rules as laid out in their prospectus
  • Accurately enter all trade orders in a timely manner without error across multiple trading platforms. (BranchNet Online Mutual
  • Maintain knowledge about various products supported by the trade desk (Mutual Funds, UITs, Precious Metals, ETFs). Be able to
  • Providing tax information for the firm’s financial statements
  • Advising the firm’s professionals on the tax implications related to the firm’s businesses and/or transactions undertaken by or for the firm
  • Demonstrates independence and leadership qualities that applies appropriate discretion and judgement
  • Demonstrates excellent customer service orientation to include: collaborative and leadership approach to solving for systems or service gaps; ability to internally represent the issues and challenges of clients; and ability to manage stakeholder expectations and provide superior follow-up and prioritization
Entry Level Mutual Fund Representative
04/2009 - 08/2013
Phoenix, AZ
  • Trains co-associates and branches on new system enhancements
  • Provide high value service to internal and external clients in an environment that promotes Baird’s culture and the Operations mission and values statement
  • Ensure adherence to regulations, Baird policies, and department procedures and policies
  • Answer and/or initiate Financial Advisor and Client Specialist contact; answer routine questions and follow through on requests
  • Contribute to productivity, efficiency and effectiveness improvements to drive exceptional client service and risk mitigation
  • Work on special team projects or support other team members in their efforts
  • Review, approve, and process transactions and activity while adhering to strict deadlines to prevent market exposure and loss potential to clients, Reps, or Baird
  • Monitor and evaluate all activity promptly for accuracy and take corrective action to rectify errors while escalating any issues appropriately
  • Identify opportunities and make recommendations for process or policy changes to mitigate risk or to increase productivity, efficiency, and effectiveness


Upper Iowa University - Des Moines Center
2004 - 2008
Bachelor's Degree in Accounting

Professional Skills

  • Strong interpersonal skills demonstrated by an ability to develop good working relationships with management and peer group colleagues
  • Lead projects in a matrix managed fashion leveraging strong interpersonal and written communication skills
  • Proven experience in delivering strong results
  • Strong MS Office skills required and Beta, Morningstar,
  • Strong Microsoft office skills required, specifically Word, Excel and PowerPoint
  • The ability to demonstrate effective communication skills to clients, service partners, and internal teams
  • Strong time management and project leadership skills

How to write Mutual Fund Resume

Mutual Fund role is responsible for french, software, mainframe, retail, finance, securities, training, database, recruiting, security.
To write great resume for mutual fund job, your resume must include:

  • Your contact information
  • Work experience
  • Education
  • Skill listing

Contact Information For Mutual Fund Resume

The section contact information is important in your mutual fund resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:

  • First and last name
  • Email
  • Telephone number

Work Experience in Your Mutual Fund Resume

The section work experience is an essential part of your mutual fund resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous mutual fund responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular mutual fund position you're applying to. The work experience section should be the detailed summary of your latest 3 or 4 positions. Representative Mutual Fund resume experience can include:

  • Possess strong interpersonal, analytical, problem solving, negotiating, influencing, facilitation, organizational, prioritization, decision making, and conflict resolution skills
  • Excellent oral and written communications skills with internal and external customers
  • Top notch phone etiquette and excellent interpersonal communication skills both verbal and written required
  • Excellent customer service and communication skills (verbal/written)
  • Proven experience as a licensed professional, either as a producer, trader or call center representative
  • Cross train in different areas to expand knowledge base and to advance skills

Education on a Mutual Fund Resume

Make sure to make education a priority on your mutual fund resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your mutual fund experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.

Additional details to include:

  • School you graduated from
  • Major/ minor
  • Year of graduation
  • Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.

Professional Skills in Mutual Fund Resume

When listing skills on your mutual fund resume, remember always to be honest about your level of ability. Include the Skills section after experience. Present the most important skills in your resume, there's a list of typical mutual fund skills:

  • French language (reading and verbal) skills is a requirement
  • Solid Tax Compliance experience
  • French language (written and verbal) skills is a requirement
  • A good understanding of the asset management industry. Educated to graduate level &/or has demonstrable investment management industry experience
  • Effectively interact with senior business leaders
  • Funding validation and release of outgoing wires

List of Typical Experience For a Mutual Fund Resume


Experience For Director, Mutual Fund Research Resume

  • Experience in the various facets of testing; test documentation, execution, and supporting others through the testing life cycle
  • Experience in assisting in business requirement gathering and documentation
  • Brokerage Operation and/or business analysis experience; preferably in Mutual Funds
  • Work with Product Management analytics team to develop strong industry and product knowledge
  • Maintaining the highest level of service to our clients by maintaining department standards outlined in the Performance Management Plan
  • Initiating communication and conduct research for clients to proactively resolve arising issues
  • Effectively manage projects within a cross functional project team (internal and external technology, operations, product, and business organizations)
  • Cultivates productive working relationships within the team, cross domains as well as system vendors
  • Demonstrates flexibility, time management, and good decision making skills when dealing with multiple tasks, changing priorities, varying stakeholder styles, and project complexities

Experience For Mutual Fund Operations Specialist Resume

  • Committed to creating a culture that identifies innovative solutions and drives improvement
  • Provide advisors with information regarding sales and ticket charges, fund eligibility and LPL processes
  • Accurately enter all trade orders in a timely manner without error across multiple trading platforms. (ClientWorks Online Mutual
  • Provide client specialized servicing to mutual fund investors
  • Gain licenses, certifications, and further training
  • Fast growing company that provides numerous opportunities for job advancement

Experience For Specialist, Mutual Fund Financial Rprtng Resume

  • Perform special project assignments from time to time, such as research work, obtaining special authorizations and data entry
  • Adheres to all SEC, FINRA, WSBS and sponsor rules, regulations, policies and procedures when placing trades
  • Documents activity, including trade tickets and order blotters
  • Advanced knowledge of Excel, Access, PowerPoint, Visio and other MS Office Products and applications required to perform daily implementation functions
  • Ensure daily workload is allocated across department and assist with out of office function coverage
  • Manual date entry of UIT and Precious Metals trades at the end of each business day into the back-end system
  • Develop and maintain relationships with business partners such as UIT Sponsors, Mutual Fund Sponsors and Transfer Agents
  • Provide support for the creation of materials for quarterly meetings of the RBC Funds’ Board of Trustees and its committees. (10%)

Experience For Mutual Fund Trader Resume

  • Support and provide back-up for Funds’ Treasurer as needed to ensure accurate valuation of the RBC Funds’ portfolio securities (10%)
  • Work closely with the Financial Reporting team to provide expense support. Review expense related information in the financials and provide sign off during annual/semi fund reporting cycles
  • Assist the Funds’ Treasurer in the oversight and maintenance of effective financial controls over aspects of fund accounting, fund administration and financial reporting for the RBC Funds
  • Review mutual fund financial statements created by third-party fund accounting agent to ensure information is accurate, properly reflects the funds’ financial position and includes all disclosures required by GAAP and/or SEC regulations
  • Communicate effectively and professionally to clients, service partners and internal teams both in written and verbal communication
  • Demonstrate a service-oriented approach
  • Demonstrated knowledge of the financial industry and SPTC policies and procedures
  • Demonstrated ability to understand complex technical issues and make sound decisions

Experience For Supervisor, Operations, Mutual Fund Trading Resume

  • Strong knowledge of stocks, bonds, mutual funds and managed account
  • Knowledge of Mutual Funds strongly desired
  • Participates in daily workload of the team, but at a more experienced/technical level
  • Provide support for the creation of materials for quarterly meetings of the RBC Funds’ Board of Trustees and its committees
  • Support and provide back-up for Funds’ Treasurer as needed to ensure accurate valuation of the RBC Funds’ portfolio securities

Experience For Mutual Fund Specialist Resume

  • Interact with Funds’ third-party fund accountants and custodians to assist in operational set-up of new mutual funds
  • Manage and maintain procedures and controls over GSAM’s tax compliance processes, interacting and working efficiently with fund administrators, internal fund accounting and external service providers
  • Plan and monitor the production of funds’ expense budgets for an assigned group of expense types as well as perform review functions. Be able to analyze expense budgets by forecasting based on payments trends. Research budget changes and payment fluctuations each month
  • Review Expense and Payable Analysis reports, prepared in support of annual and semi-annual reporting and audits, and ensure that these reports are prepared timely and accurately
  • Or more of management and leadership experience
  • Experience in Mutual Fund Industry
  • Review prospectus fee and expenses tables and expense examples as well as SAI expense tables prepared by the analysts and ensure that deadlines are met

Experience For Mutual Fund Product Manager Resume

  • Support any new product development initiatives by designing and preparing scenario analyses for e.g. assessing the corporate profitability of the new product based on the contractual fee arrangements and expense limitations, if any
  • Direct all aspects of the 1940 Act Funds’ (“Funds”) tax matters
  • Recommend and initiate corrective action for exceptions and out-of-balance positions or securities
  • Detailed oriented, organized and able to complete the workload in an accurate and timely manner
  • Proficiency with Word, Excel and other Microsoft applications
  • CPA or CPA in-progress
  • Ensure RR’s are informed of any changes in funds or any new products that become available

Experience For Mutual Fund Trade Analyst Resume

  • FINRA Series 6 & 63 required
  • Sets an example to others with respect to knowledge, conduct, professionalism, and workflow
  • Proactively communicates detailed updates to manager on responsibilities outside of the day to day operations
  • Respond to new business RFP requests and annual/quarterly/monthly/ad hoc due diligence questionnaires
  • Maintain internal database of RFP responses
  • Maintain standard boilerplate responses, such as company history and key personnel bios, which can be used repeatedly
  • Review, update and maintain monthly/quarterly data in online Consultant Databases
  • Interaction with investment management team when necessary
  • Assists with ad-hoc projects

Experience For Senior Mutual Fund Trader Resume

  • Performs human resource management activities including, but not limited to, coaching and mentoring department associates, reviewing and assessing associates’ performance, interviewing and selecting staff, identifying performance problems, and seeking guidance for remedial action, and, in some cases, terminating underperforming associates
  • Performs supervisory activities, including coaching and mentoring department associates, reviewing and assessing associates’ performance, interviewing and selecting staff, identifying performance problems and seeking guidance for remedial action, and, in some cases, terminating underperforming associates
  • Fund accounting or public accounting experience
  • Answer shareholder calls and have the ability to answer fund specific questions
  • Entry level position that allows for variety in daily tasks and the ability to gain extensive knowledge of back office mutual fund operations for future advancement in industry
  • Process routine service requests for purchases, redemptions, transfers, new account set-ups and other maintenance items requested by the customer
  • Research complex issues for customers in order to support their requests
  • Passion for excellence in service and attention to detail
  • Executes mutual fund orders through the brokerage system

Experience For Business Analyst Mutual Fund Trading Platform Resume

  • Evaluates error correction requests to determine the appropriate corrective action to implement and document action taken. Notifies Compliance and management if appropriate
  • Serves as a subject matter expert for the brokerage platform; performing account paperwork review and opening, maintenance, cashiering requests, transfers, and additional follow up as needed
  • Prioritizes problem resolution items, resolves and responds or escalates to the Operations Manager accordingly
  • Trains and educates the field by communicating WSBS and Brokerage Operations policies, procedures, processes, products, service charges, etc
  • Responds to field inquiries on the brokerage platform and other products or services available through WSBS
  • Seeks continuous improvement in all processes and services that affect WSBS and Brokerage Operations; implements necessary changes

List of Typical Skills For a Mutual Fund Resume


Skills For Director, Mutual Fund Research Resume

  • Flexibility along with good organizational skills
  • Asian language skills (Mandarin AND Cantonese - written and verbal) required
  • Maintaining all previously cultivated (applicable) job knowledge and skill sets
  • Previous experience working in a Public Accounting setting
  • Demonstrated knowledge and background in trading, trading desk operations and compliance of mutual fund trading
  • Experience working with investment-oriented databases and analytical software including Morningstar, Bloomberg, FactSet and Excel
  • Perform validation of assets and information gathering directly with the Funds for RFP’s for Sr. Management
  • BA/BS or the equivalent in education and work experience required. Preference in: Accounting, Finance or business related field
  • Financial reporting with mutual funds experience

Skills For Mutual Fund Operations Specialist Resume

  • Experience in Mutual Fund Trading & Schwab Broker Dealer System
  • Good understanding of financial market dynamics and sound wealth management products knowledge
  • Relevant experience required
  • Experience of strategy development and organizational leadership
  • Understanding of research analytics to provide back-up support to internal partners
  • Reporting and daily cash settlements with custodian and share reporting to fund accounting groups
  • Attending training on an on-going basis to improve knowledge of products and procedures
  • Keeping current with changing policies and procedures that affect the department
  • Processing all financial-related transactions on date of receipt within department and SEC standards

Skills For Specialist, Mutual Fund Financial Rprtng Resume

  • Processing all non-financial related transactions on date of receipt within department and SEC standards
  • Routine processing; 10% learning
  • Routine processing; 15% project / conversions; 10% training others
  • Be a departmental resource by possessing the knowledge of understanding the big picture
  • Leads individuals and teams to achieve objectives and drive results; inspires the highest levels of performance (Managing People)
  • Provide reconciliation support and oversight to 3rd party Omnibus Trading vendor
  • Support trade desk calls during high volumes or outages
  • Deep understanding of mutual funds, product trends and industry regulations
  • Work directly with the auditors to provide support during annual/semi fund audits

Skills For Mutual Fund Trader Resume

  • Develop a process for tracking a wide variety of investment transactions across multiple categories(e.g. CLO’s, Structured Products, Promissory Notes)
  • Assist in monitoring book/tax differences such as PFICS, wash sales, straddles, contingent debt, equity/debt determination, REITS, MLP’s etc
  • Knowledge of Microsoft Office products including Word, Excel, Access and Outlook
  • Knowledge/understanding in mutual fund industry
  • Can perform testing, enhancement, and/or project efforts independently
  • Disseminate information internally regarding progress of RFPs and related requests for information
  • Manage workflow, including timelines and critical milestones, of RFP and Due Diligence questionnaires

Skills For Supervisor, Operations, Mutual Fund Trading Resume

  • Ensures that Raymond James’ mutual fund platform remains competitive with peers and remains up to date with evolving industry and regulatory environments
  • Demands accountability from self and others for business performance (Accountability/Ownership)
  • Excellent verbal, written and interpersonal communication skills clear articulation of financial analyses and issues to senior management (Communication Skills)
  • Analyzes and conceptualizes information and situations systematically; identifies and understands underlying issues; probes the facts; differentiates key elements from the irrelevant or trivial (Problem Solving)
  • Regulated Investment Company Tax experience
  • Makes timely decisions and is prepared to take action in conditions of uncertainty or ambiguity (Decision Making)
  • Able to adapt to use proprietary and web-based systems
  • Maintain the ability to run daily queries from various reports and operational databases
  • Manual data entry to move cash and shares across backoffice accounts

Skills For Mutual Fund Specialist Resume

  • Develop and maintain relationships with business partners such as Mutual Fund Sponsors, Transfer Agents, and Omnibus Vendor
  • Adhere to a checklist
  • Impeccable in time management
  • Entry level position that allows for variety in daily tasks and the ability to gain extensive knowledge of back office mutual fund operations for future advancement/job progression
  • Partner with product risk to improve our approach to on-going monitoring. Own the resolution of specific issues with fund categories or fund companies
  • Provide thought leadership to enhance/evolve LPL approach to Mutual Fund diligence assessing fund availability
  • Partner with the AVP of Mutual Funds to own this product category

Skills For Mutual Fund Product Manager Resume

  • Track regulatory changes and industry / competitor developments in terms of product, pricing, policy and platform experience within the mutual fund and 529 product categories
  • Establish scalable investment workflows, ensure a controlled operating environment, and deliver high quality client service to both internal and external business relationships
  • Support primary investment related activities, the group assists in the design and implementation of firm wide projects, operational due diligence, counterpart management and client related activities
  • Provide a full offering of appropriate, competitive and effective products to meet the demand of existing and prospective clients
  • Commitment to learning and expanding knowledge of investment products and industry
  • BS/BA in Finance, Business, Engineering or a related field
  • A proactive approach to resolving issues

Skills For Mutual Fund Trade Analyst Resume

  • FINRA Series 6 or 7 licensing required within 6 months of hire.?
  • Able to influence, engage and lead in positive, inspiring manner
  • Responsible for the delivery of onshore and offshore Mutual fund investments
  • Coordinate the development, approval and implementation of new investment products
  • Handle ongoing management of approved products, including product launch and training, marketing plans, sales training and positioning, collateral materials, competitive positioning, product performance and sales tracking
  • Self starter, efficient and flexible to meet and work within tight deadlines

Skills For Senior Mutual Fund Trader Resume

  • Handle fastpaced and deadline driven environment
  • Handle fast paced and deadline driven environment
  • Excellent verbal and written communication, interpersonal, organization, planning, problem solving, prioritization, multitasking, mathematical, and time management skills necessary
  • University qualification in a relevant business discipline, Business or Finance
  • Knowledge of alternative investments, mutual funds, investment advisory products and general securities
  • Handle fast-paced and deadline driven
  • Edward Jones ranked No. 5 in the FORTUNE 100 Best Companies to Work For® list for 2017

Skills For Business Analyst Mutual Fund Trading Platform Resume

  • In 2016, Fortune Magazine ranked us seventh on their list of the 100 Best Workplaces for Women. The list is based, among other things, on employee benefits, flexible scheduling and work-life balance
  • Assemble information from various data sources, such as Bloomberg, the internet, internal network files, etc
  • Perform analytical and detailed mathematical checks
  • Assist the Funds’ Treasurer in the oversight and maintenance of effective financial controls over aspects of fund accounting, fund administration and financial reporting operations for the RBC Funds, including analysis of mutual fund operating expense budgets, accruals and payments. (25%)
  • Review mutual fund financial statements created by third-party fund accounting agent to ensure information is accurate, properly reflects the funds’ financial position and includes all disclosures required by GAAP and/or SEC regulations. Resolve issues and respond to requests from external auditors during annual audits of the RBC Funds. (25%)

List of Typical Responsibilities For a Mutual Fund Resume


Responsibilities For Director, Mutual Fund Research Resume

  • Possesses and displays excellent verbal and written communication skills with ability to convey information to internal and external customers in a clear, focused and concise manner while following proper rules of grammar, diction and style. Demonstrated ability to effectively interact and communicate with all levels of staff and management
  • Process a variety of client/shareholder mutual fund transactions of varying complexity, including new account set ups, purchases, redemptions, exchanges, and account maintenance within work standards for productivity and accuracy
  • Analyzes prospectus, signature guarantee, trust agreements, qualified plan prototypes, wills, divorce decrees, corporate resolutions, load structures, and breakpoints
  • Working knowledge of the securities/mutual fund industry, terminology, rules, regulations, practices and procedures gained through experience working within the industry or through post-secondary education
  • Excellent oral and written communication, mathematical, PC, and customer service skills
  • At least one year of previous banking, financial services, retail, and/or customer service experience or exposure

Responsibilities For Mutual Fund Operations Specialist Resume

  • Or more of previous banking, financial services, retail, and/or customer service experience or exposure
  • Experience processing mutual fund, financial, and/or corporate security transactions via phones, correspondence, and/or quality reviews
  • Oversee end to end mutual fund order processing, contacting fund companies/outsourcing client as needed
  • Commission balancing and remittance
  • Service multiple clients, identify problems and achieve resolution independently by using resources throughout the division
  • Interface with Operating units and business units, such as Reversals Team, Reconciliation Team,
  • Risk report monitoring

Responsibilities For Specialist, Mutual Fund Financial Rprtng Resume

  • Identify, research, and resolve reconciliation exceptions
  • Service multiple clients
  • Reconcile daily cash and share reconciliation reports
  • Monitor important developments in the fund industry, markets and the broader economy
  • Process both the Account to Account Transfers and Mutual Fund Trade Corrections daily
  • Provides superior service to all customers
  • Proficiency of MS Word, MS Excel, and MS Access
  • Distribution of dividends
  • Series 7/63 Required

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