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Operations Specialist, Investor Communications
PEAK6Operations Specialist ensuring accurate regulatory communications for clients at Apex Fintech Solutions. Engaging in investor documentation preparation and compliance processes in a supportive role.
About the role
Key responsibilities & impact- Assist in the preparation and review of investor documentation, including agreements, disclosures, and compliance-related materials
- Ensure Investor Communications requests are processed while adhering to processing deadlines
- Perform regular reconciliation to ensure compliance
- Work with and provide assistance to internal and external stakeholders
- Be responsible for ensuring that customer inquiries are completed in accordance with service level agreement guidelines
- Ensure that inquiries are responded to in a professional and timely manner and escalating issues to management
- Aid in the onboarding of new clients and provide supervisory oversight of communications to ensure adherence to regulatory requirements
- Review and complete supervisory oversight and provide updates to management regarding any issues with client documentation or regulatory compliance
- Ensure all investor communications adhere to regulatory and compliance standards
- Identify documentation/processing irregularities and outline corrective measures
- Identify opportunities for improving documentation processes and workflows
Requirements
What you’ll need- Bachelor's degree in Finance, Business Administration, Communications, or a related field or equivalent experience
- 2+ years of prior experience preferably in financial services
- FINRA SIE and Series 7 preferred (or willingness to obtain them)
- Familiarity with communication regulations and industry standards that govern regulatory investor communications
- Must be detail-oriented and focused on customer satisfaction
- Proficiency in Microsoft 365
- Experience working with internal and external clients
Benefits
Comp & perks- healthcare benefits (medical, dental and vision, EAP)
- competitive PTO
- 401k match
- parental leave
- HSA contribution match
- paid subscription to the Calm app
- generous external learning and tuition reimbursement benefits
ATS Keywords
✓ Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
Investor DocumentationRegulatory ComplianceReconciliationDocumentation ProcessesClient Onboarding
Soft Skills
Detail-OrientedCustomer Satisfaction FocusProfessional CommunicationProblem-Solving
Certifications
FINRA SIESeries 7