Operations Specialist, Investor Communications
Location
Philippines
Posted
2 days ago
Salary
0
Seniority
Mid Level
Job Description
Operations Specialist, Investor Communications
PEAK6
• 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
Job Requirements
- 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
- 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
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