Career Opportunities

Job Purpose: Support corporate legal counsel, paralegals, and fund administrators in the preparation and execution of certain regulatory filings.  Assist in the assembly, printing, and distribution of Board and audit committee materials for the respective clients’ boards of directors/trustees/committees meetings.  Act as BlueSky coordinator for the registration and reporting of clients’ securities offerings.  Administer file maintenance.  Provide telephone support.

Key Responsibilities:

• Prepare drafts, make revisions, and execute final filings of various regulatory documents with the U.S. Securities and Exchange Commission (“SEC”), including, but not limited to, N-SAR, 497s, 497Js, Form ID, Form 144, Form 8-A, and 24f-2s.
• Prepare and maintain Legal Department calendar including a detailed spreadsheet of Board book preparation and distribution timelines.
• Maintain the files via hard copy and in electronic form for corporate and client documents including, but not limited to, contracts/agreements, minutes, Board and various committee materials, and regulatory filings. 
• Assist with assembly, printing, and distribution of Board books and committee materials (i.e., Audit Committee, Fair Value Committee, etc.) for the respective clients and maintain accurate contact information for members of such groups.
• Distribute the corporate audited financial statement to the respective states.
• Execute the Corporate Annual Reports to the respective states.
• Assist in the fulfillment of SEC requests including, but not limited to, compiling the administrator services report (Administrators Grid) of information regarding registered investment company clients and services, and research and assemble materials for exams/audits.
• Upon proper notification from the fund client, coordinate the state security registration filings, reporting, and payment requirements, communicate BlueSky law changes, and supply BlueSky reports to clients as requested.
• Provide word processing, proofreading, and formatting of documents.
• Other duties as assigned from time to time.

Minimum Education, Certifications and Experience:

• High School Diploma required.
• 5 years experience as an administrative assistant preferred.

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Internal Wholesaler - Denver, CO.

Overview: ALPS Mutual Funds Services is the distributor for the Select Sector SPDR family of Exchange-Traded Funds (ETFs).  In this capacity we are responsible for sales and marketing to financial advisors, institutions and intermediaries.  The sales team is comprised of Product Specialists, Internal Wholesalers and Regional Sales Managers.  The following skills and responsibilities pertain to the job of Internal Wholesaler. 

Responsibilities:

• Support 2 Regional Sales Managers (RSMs) in their respective territories
• Work with RSMs to execute a territory management plan that will be reviewed quarterly
• Outbound phone calls to national wirehouse firms, independent broker-dealers and registered investment advisors to set up appointments for RSMs
• Outbound phone calls to follow up on existing sales leads
• Outbound phone calls to financial advisors to gauge interest in Sector SPDRs
• Conduct web seminars to educate financial advisors on a variety of ETF and financial planning topics
• Travel to regional advisor conferences to promote Sector SPDRs – 2 to 4 per year
• Assist with e-mail, direct-mail and web-related marketing campaigns
• Update Salesforce CRM with new lead / contact information
• Follow-up on activities of RSM via phone call / e-mail / direct-mail campaigns
• Limited inbound phone calls on Sector SPDR advisor hotline
• Assist Product Specialists with advisor related inbound phone inquiries

Skills:

• Excellent communication skills
• Outstanding organizational skills and attention to detail
• Knowledge of Mutual fund and Investment Management industries
• Ability to work independently as well as in a team environment

Required Qualifications:

• 2 years experience as an Internal Wholesaler
• Bachelor of Science Degree in Accounting, Finance, or Economics

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Fund Accounting Client Specialist - Denver, CO.

Overview: In the Fund Accounting department we maintain a security portfolio and general ledger for each fund customer.  Daily, we are responsible for calculating the net asset value, NAV, for each individual fund.  This involves the processing of shareholder transactions, accounting for securities purchased and sold, valuation of securities, and daily income and expense accrual evaluation.

The primary responsibility of the Fund Accounting Client Specialist is the oversight of all portfolios for a particular client.  This oversight includes reviewing the daily work prepared by fund accountants, training of fund accountants, and preparation of daily, weekly, and monthly reports.  Daily report preparation would include reconciliations of transactions, holdings, and income.  In addition, the position includes assisting the fund controllers in administration functions such as preparation of specialized client reporting.  The position will also include assisting the Director of Tax in specialized processes and reporting for the client. 

Of primary importance with this position will be interacting with the client on a daily basis and ensuring all client accounting and reporting needs are being met.

Required Qualifications:

• 3+ Years of industry related experience or 1+ years fund accounting experience
• Good understanding of Domestic and International Equities, Fixed Income, and Derivative Investments
• Very strong communication & organization skills
• Excellent computer skills, particularly Excel
• Bachelor of Science Degree in Accounting, Finance, or Economics
• MFACT experience a plus

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Send mail to hr@alpsinc.com with questions or comments about this web site.

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