Jeff Barton Email & Phone Number

Overland Park Ks

Responsible for conducting the analysis, review, and supervision of logs for Classic mutual fund business, including recommendations for suitability and general supervision. The following are specific responsibilities:• Review exception reports, monitor logs and blotters, OBA requests, etc. for the Classic channel financial advisor sales activities to detect possible trends or irregularities and provide appropriate disciplinary recommendations to management if applicable.• Assist with the analysis and OSJ review of mutual fund recommendations by W&R’s Classic channel financial advisors.• Request supporting documentation, corrections or further suitability information from the Classic financial advisor or field management regarding mutual fund transactions.• Respond to inquiries regarding mutual funds including submission of business, benefits and features of the products and their availability, etc.• Work in partnership with other departments such as the Compliance Department, Client Services or outside fund companies regarding the review of mutual fund transactions and in carrying out department initiatives, projects and agendas.• Assist in the creation, amending and maintenance of applicable department IOP’s and WSP’s.• Have a good level of mutual fund industry knowledge.• Stay abreast of changing industry rules and regulations.

Topeka, Kansas Area

Associate'S Degree, Business Administration And Management, General

Finance, General