Shareholder Recordkeeping Representative

Our transfer agency provides investor record keeping services for mutual funds, private funds and other investment portfolios. Shareholder Services representatives process financial service requests relating to daily purchases, redemptions, new account set ups and maintenance, transfers, and exchanges of shareholder accounts from shareholders, broker/dealers, third-party entities, institutions and client fund groups. Successful representatives will follow all activity through to completion or resolution while demonstrating a hospitable, service-oriented approach.

This associate is responsible for financial tasks, including managing, verifying, posting and reconciliation of bank accounts; accepting, verifying and sending wire transfers; and production and filing of daily reports. Daily work requires a high level of attention to detail and the ability to meet multiple deadlines. Works primarily within the Shareholder Services team, which is a fast paced, results-oriented environment. Associate will be responsible for prioritizing work.


Cash Movement

  • Making entries to move money between designated DDA and trust accounts
  • Processing deposits
  • Completing money movement within a 1½ hour processing window
  • Reconciling previous day bank activity each morning
  • Reconciling current day bank activity each afternoon
  • Wires & Shareholder Information
  • Verifying trade and wire information using shareholder database
  • Verifying movement of cash
  • Processing wire entries and verifying accuracy
  • Sending wires in accordance with relevant bank cut-off times
  • Issuing checks and/or ACH


Shareholder Services Duties:

Corporate Finance Duties:

  • Process non-monetary transactions, such as address changes and account maintenance.
  • Answer phone calls and respond to email inquiries.
  • Assist with daily activities, including new account identity verification, returned mail, and filing documents.
  • Create and mail shareholder statements and confirms, as needed.
  • Assist with special projects and assignments.
  • Learn about the financial services industry and have fun doing it!


Behaviors & Talent:

  • Client-focused
  • Critical Thinker – Has an aptitude for learning, for questioning, for problem solving
  • Individual Initiative – Can be a self-starter
  • Ability to plan, organize, prioritize and manage work activities
  • High level of attention to detail, is very thorough
  • Polite & confident
  • Tells the truth, forthright
  • Takes ownership, solves problems and shows initiative
  • Demonstrates a “can do” attitude
  • Thrives in a results-oriented environment
  • A need to see order and is very accurate
  • Work in a fast-paced environment with the ability to adjust and be flexible to change
  • Collaborative & Accountable – Has a drive to be of service to others


Technical Skills:

  • Computer literacy to include Microsoft office programs, notably Excel (Access preferred but not mandatory)
  • Prior cash movement, banking or QuickBooks experience preferred
  • Some understanding of business accounting
  • Ability to acquire FINRA Series 6 within six months


We pride ourselves on a strong family-oriented culture with a pleasant working atmosphere. We do complex Wall Street work in a relaxed Eastern North Carolina environment. Nottingham offers a wonderful benefit package and the ability to grow and advance.

If you are interested in learning more about this position, please send resume and cover letter expressing interest to