Operations Specialist, Investor Communications

PEAK6

Operations Specialist ensuring compliance and clarity in investor communications for Apex Fintech Solutions. Collaborating with stakeholders to maintain regulatory standards in documentation and client interactions.

Posted 7/9/2026full-timeRemote • 🇵🇭 PhilippinesJuniorMid-LevelWebsite

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, such as Apex internal teams, third party vendors, and customers
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
Strong customer service and problem solving skills
Ability to multitask and prioritize while maintaining strong attention to detail

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

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Applicant Tracking System Keywords

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Hard Skills & Tools

Investor DocumentationRegulatory ComplianceReconciliationDocumentation ProcessesCommunication Regulations

Soft Skills

Detail-OrientedCustomer Satisfaction FocusProblem SolvingMultitaskingPrioritization

Certifications

FINRA SIESeries 7