Job description

Ullico Investment Advisors, Inc., an SEC registered investment adviser with over $8 billion in assets under management, is actively recruiting a Supervisor, Data Management, for our Investment Operations Department for our Silver Spring, MD office. This person will be responsible for managing the process for tracking and maintaining all physical and electronic files required by regulatory agencies.This role will interact with internal and external stakeholders to effectively manage sensitive client information, including, but not limited to, client statements, correspondence, and contracts. Additional responsibilities entail developing policies and procedures that incorporate best practices and training Investment Services staff on recordkeeping standards.

The duties/responsibilities of this position are as follows:

• Develop physical and electronic document management policies and procedures based on industry best practices that incorporate all SEC and FINRA requirements as outlined in the Firm’s supervisory procedures manuals.
• Conduct research on technological solutions to manage, archive and disseminate data and prepare recommendations or proposals for senior management’s review and approval.
• Supervise the Service Coordinator’s archiving of physical and electronic documents.
• Assist in developing a comprehensive client onboarding process and manage the ongoing process, including tracking of compliance reviews and approvals.
• Oversee client data transfers between internal and external platforms and independently resolve issues.
• Establish and maintain data reconciliation processes.
• Train Investment Services staff on best practices for the management, description, archiving, and communication ofdata.
• Administer periodic reviews of records, including retrieval testing. Conduct quality control reviews with metrics.
• Manage digital preservation and retrieval projects and various data‐centric administrative duties as assigned.
• Perform other similar and related duties as required.

Minimum Qualifications

The successful candidate must have a Bachelor’s Degree and at least 3 years of Data Management experience. Working knowledge of investment reporting data and compliance regulations, including ERISA, is preferred. Must have supervisory experience and be able to deal with all levels of internal associates and outside agencies. Excellent written and oral communication skills and attention to detail are critical for this role.

For over 90 years, Ullico, the only labor-owned insurance and investment company, has been a proud partner of the labor movement, keeping union families safe and secure. From insurance products that protect union members, leaders and employers, to investments in building projects that have created thousands of union jobs, our customers continue to trust us with protecting their families, employees, businesses and investments. For additional information, visit www.ullico.com.

We offer a competitive starting salary and an outstanding benefits package including health/dental/vision, 401(k) and pension plan.

Ullico is an Equal Opportunity Employer.

Ullico participates in E-Verify.

Job Type: Full-time

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Employee assistance program
• Employee discount
• Flexible spending account
• Health insurance
• Health savings account
• Life insurance
• Paid time off
• Parental leave
• Tuition reimbursement
• Vision insurance

Schedule:

• Monday to Friday

Supplemental pay types:

• Bonus pay

Work Location: One location

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