Address
Form of workUnit Investment Trusts
Assistant Vice President
The Advisors Asset Management UIT division seeks to assist the performance of tasks related to the sponsorship of AAM’s Unit Investment Trust products (UIT). This includes initial creation of the product, as well as ongoing supervision, evaluation, administration and broker/dealer client support.
Location: Wichita, KS
ESSENTIAL RESPONSIBILITIES:
- Support Broker/Dealer clients and AAM representatives by providing research and information regarding UIT products. Includes maintenance of UIT information in AAM Proprietary Database
- Maintain and update specific information in AAM database and AAM website
- Prepare specific reports for individual requests and answer questions from AAM reps, broker/dealers and end users
- UIT creation and development duties for fixed income and equity products. Includes preparation of information necessary to complete prospectus and disclosure
- Coordinate documents, legal counsel, auditors, and trustee bank on fixed income and equity products
- Provide back-up or assistance to UIT team in the areas of pricing, processing creations and sending trade file, municipal bonds, taxable bonds, and UIT trading, UIT creation and development for equity products
- Assist in maintaining regulatory compliance related to UIT department, including SEC required filings for individual UIT products and/or corporate filings
- Perform other job-related duties as assigned
EDUCATION and/or EXPERIENCE:
- 1-3 Years of experience in finance and product support
- Preferred Education: Bachelor’s Degree or equivalent experience
- Preferred Certification(s): FINRA Series 7 & 63 (AAM willing to sponsor licensing)
QUALIFICATIONS:
- General knowledge of the Securities Industry
- General knowledge of investment products and structure
- Advanced Excel, Word, Outlook experience
- Dedication and willingness to work under deadlines when necessary
- Highly detail oriented with strong follow-through work habits
Established in 1979, AAM has become a highly respected financial force providing complete portfolio solutions tailored to the individual needs of financial professionals. Our results-oriented advisor-centric service model and industry experience differentiates us from the competition by adding real value to your financial services business.
For over 40 years, AAM has been a trusted resource for financial professionals and broker/dealers. We offer access to UITs, open- and closed-end mutual funds, separately managed accounts (SMAs), structured products and the fixed income markets, as well as portfolio analytics and now exchange-traded funds (ETFs). Advisors Asset Management, Inc. (AAM) is a SEC registered investment advisor and member FINRA/SIPC.
As of September 30, 2023, the brokerage and advised business at AAM represents approximately $39.3 billion in assets. (Assets under supervision represent $5.2 billion in UIT assets. The firm has $30.5 billion in assets under administration that represents the non-proprietary assets for which AAM provides various levels of service, but not management. The firm's $3.6 billion in assets under management represents AAM's proprietary separately managed account, mutual fund and ETF assets.)
AAM is a broker/dealer, member FINRA/SIPC and SEC registered investment advisor. For more information, visit www.aamlive.com.
Advisors Asset Management is an Equal Opportunity Employer and a participant in E-Verify.
