Tyson Heiser Email & Phone Number

Chicago, Illinois, United States

Greater Chicago Area

• Critically analyze departmental processes and procedures for improvement opportunities • Actively train and mentor Shareholder Services team members• Developed processes and procedures for the successful implementation of SEC Rule 30e-3• Coordinate with internal teams and vendors for the accurate and timely delivery of Mutual Fund and ETF regulatory mailings• Lead team consistently rated 5-star by third party, National Quality Review, with numerous “Best in Class” designations• Act as a subject matter expert on policies, procedures, and industry regulations• Coordinate operational support for fund launches, closures, mergers, and liquidations• Project administration for Shareholder Services and Training teams to ensure deadlines and deliverables are met• Provide team oversight and ensure accurate and timely execution of daily operations• Oversight of vendor performance and invoicing

Greater Chicago Area

• Resolved sensitive and complex inquiries from financial intermediaries and retail shareholders• Maintained accuracy of Mutual Fund Profile II (MFPSII) data• Assisted with the establishment of new fund and networking agreements• Performed monthly portfolio rebalancing for several large institutional clients• Improved efficiency and accuracy of monthly account coding process for intermediary fee payments• Facilitated team projects and reports from initiation to implementation• Conducted monthly quality oversight of team to ensure compliance with department quality and regulatory standards• Assisted with broker/dealer and institutional client onboarding• Performed corrective processing and monitoring of dividend adjustments

Greater Chicago Area

• Resolved ACATS, Transfer of Retirement Assets (ToRA), and NSCC trade rejections• Communicated large trade and cash flow activity to our subadvisory partners• Ensured products correctly set up on intermediary platforms through fund questionnaires• Quality checked written and electronic correspondence to shareholders complied by junior representatives• Communicated dividend and corporate actions to intermediary partners

Greater Chicago Area

• Processed account maintenance and financial transactions • Provided inbound/outbound call support to communicate product knowledge and information to shareholders• Entered and authorized federal wires through State Street Cash Manager• Drafted letters and emails to shareholders