Positions Available: Assistant Fund Controller | Fund Controller | Staff Tax Accountant
NSCC and Financials Representative | Institutional Internal Wholesaler

Please submit resumes to hr@alpsinc.com

Assistant Fund Controller - Denver, CO

Job Description:Assist and support the Fund Controller on Administration Services related to each client.

Responsibilities:

Financial Reporting

• Assist in review of semi-annual and annual reports.
• Assist with audits and provide support as necessary.
• Coordinate with the Financial Reporting Team and research issues as directed

Fund Performance and Expenses

• Assist in review of annual operating expense budget.
• Review of monthly expense payments.
• Review 12b-1 payments from the Funds.
• Review expense ratios and make sure they are inline with projected budget.
• Coordinate with the Expense Team and research issues as directed.
• Provide review of performance calculations and other calculations as directed.

Compliance

• Review monthly compliance tests.
• Preparation and/or initial review of SEC filings such as N-SAR, N-Q and 24F-2.
• Assist in filings such as N-1A, N-CSR and supplements.

Miscellaneous

• Preparation and/or review of regular Board reports as related to Administration Services.
• Assist in renewal of insurance policies.
• Facilitate questions and help provide general assistance to clients.
• Assist on any other projects as requested by the Fund Controller.

Qualifications:

• Excellent verbal and written communication skills.
• Knowledge of investment company industry and general understanding of accounting principles.
• Minimum four years direct mutual fund experience.
• Detail-oriented.
• Dynamic personality with strong interpersonal skills.
• General computer skills, including Microsoft Office (i.e. Excel, Word, etc).
• Bachelors Degree in Finance or Accounting.

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Fund Controller - Denver, CO

Job Description: Professionally manage and maintain existing business relationships while directing a client’s administration functions.

Responsibilities:

Act as primary client contact

• Ensure client satisfaction and retention of existing business
• Build and maintain strong relationship within client organizations
• Be a single resource for clients to resolve problems, answer questions, and/or provide general assistance

Oversee and manage Administration services of each client

Financial Reporting & Calculations

• Review and authorize semi-annual & annual reports
• Supervise audits and act as liaison between independent auditors, tax managers and fund management
• Review and authorize performance calculations
• Review and approve 12b-1 payments
• Review and monitor expense ratios

Fund Expenses

• Review annual operating expense budget and approve accrual levels
• Authorize monthly expense payments

Compliance

• Review monthly compliance tests and ensure compliance w/ SEC and IRS requirements
• Review and authorize SEC filings such as N-SAR, N-Q and 24f-2
• Assist in filings such as N-1A, N-CSR and supplements

Board of Director Meetings

• Review and authorize regular Board reports as related to Administration
• Attend Board meetings and facilitate Trustee questions

Research, coordinate and manage special projects related to clients

Liaison between fund, management and other service providers

Qualifications:

• Excellent verbal and written communication skills with strong ability to communicate with high profile clients and senior management.
• Knowledge of investment company industry and solid understanding of accounting principles.
• 4 years of direct mutual fund accounting experience
• Dynamic personality with strong project management, leadership, and interpersonal skills.
• Strong analytical and client service skills.
• Detail-oriented.
• Advanced computer skills, including Microsoft Office (i.e. Excel, Word, etc).
• Bachelors Degree in Finance or Accounting

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Staff Tax Accountant - Denver, CO

Job Purpose:

Assist and support Sr Tax Accountant, Supervisors and Management on Tax Services related to each client.

Responsibilities:

Tax Provision Calculation and Compliance

• Prepare tax provision for annual audit
• Update capital gain information on a monthly basis
• Assist in determining tax status of investments held in each fund
• Calculate distribution requirements on a monthly, quarterly or annual basis
• Periodically perform testing to determine that RIC status is maintained

Tax Return Preparation

• Prepare Forms 1120RIC and Schedule D, 8613, 7004 and required state filings
• Coordinate signing and filing of returns with independent auditor and/or client

Year-End Reporting

• Prepare 1099 reporting information for use by transfer agency
• Prepare shareholder communications to be mailed with Forms 1099

Miscellaneous

• Assist the Sr Tax Accountant/management with issues and questions that arise
• Provide clients with special reports, as requested
• Provide tax related materials for board reporting

Qualifications:

• Advanced computer skills, including Microsoft Word, Excel, and Outlook
• Strong interpersonal skills
• Excellent attention to detail and accuracy
• Ability to self-start and work with little direction
• Bachelors Degree in Accounting or related subject
• Accounting or mutual fund industry experience a plus

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NSCC and Financials Representative - Denver, CO

Job Purpose:

One of the Transfer Agency’s main responsibilities is to facilitate money movement between mutual funds and their shareholders. The NSCC and Financials team is a subset of the ALPS Transfer Agency and is responsible for overseeing all aspects of the money movement for the clients serviced by the ALPS TA.

Hours of Operation are from 6:00 a.m. MST to 6:00 p.m. MST (or later if needed/required). Working shifts cover these hours as noted. In order to support client conversions it is sometimes necessary to work weekend hours.

Responsibilities:

• Complete monthly dividend/capital gain processing
• Answer fund specific questions pertaining to dividends, performance, and prospectus guidelines
• Ensure that the DDA’s are reconciled daily
• Ensure that NSCC processing is completed on a daily basis
• Process all automatic investment plans and systematic withdraw plans
• Ensure that all money movement has been entered and released for the day (wires/ACH’s)
• Create and approve daily confirmations
• Fulfill clients’ requests for reporting
• Assist in Fund conversions
• Assist in special projects

Skills:

• Excellent attention to detail and accuracy
• Excellent analytical and multi-tasking skills
• Computer experience (Word, Excel, Microsoft Outlook)
• Interpersonal and customer service skills
• Ability to work independently as well as in a team environment
• NSCC knowledge preferred

Qualifications:

• Bachelor of Arts Degree or industry related experience

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Institutional Internal Wholesaler - Denver, CO

Job Purpose:

The Institutional Internal Wholesaler is responsible for supporting and selling our funds to institutional clients, primarily hedge funds and asset managers. The Institutional Internal Wholesaler will assist in ongoing focus firm campaigns, firm initiatives, maintain existing relationships, provide ongoing support to clients and continually qualify new leads for the external institutional wholesalers. He/she will respond to inbound client calls, answers product questions, and provides performance data in an effort to solicit business. It is essential that this person is motivated and can work toward our objective in a self directed environment.

Responsibilities:

• Initiate and maintain sales and service relationship with institutional clients to promote the sale of the companys products.
• Profile and qualify new leads for the Institutional Wholesalers.
• Follow up Calls.
• Assist external wholesaler with scheduling supplemental appointments with advisors.
• Works closely with wholesalers to develop marketing strategy to manage territory.
• Prepares weekly action plan and reviews it daily to determine each days call plan.
• Develop and maintain database of institutional clients.
• Contact person for all data providers ensuring all of our funds data is disseminated and updated quarterly.
• Develop and maintain relationships with all producers and prospects via the phone as the main point of contact for all producers and prospects.
• Attend conferences when appropriate.

Skills:

• Computer skills needed, especially Microsoft Outlook, Word, and Excel
• Must have excellent follow up skills
• Comprehensive knowledge of ALPS ETF products and services
• Strong attention to detail with the ability to manage multiple tasks simultaneously

Qualifications:

• Two years experience in a client support or internal sales role required.
• Must have a Series 7 & Series 63
• Excellent verbal and written communication skills
• Experience with sales calls essential
• Must meet required outbound call/contact activity levels as set by Manager

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