Operations Specialist, Investor Communications

This is a fully remote position, open to applicants in Philippines.

📋 Description

• Assist in the creation and evaluation of investor documentation, including agreements, disclosures, and materials related to compliance.

• Process Investor Communications requests while ensuring adherence to established deadlines.

• Conduct regular reconciliations to verify compliance.

• Collaborate with and support internal and external stakeholders, including Apex internal teams, third-party vendors, and clients.

• Take charge of ensuring that customer inquiries are addressed in line with service level agreement guidelines.

• Ensure that all inquiries are handled in a timely and professional manner, escalating any issues to management as necessary.

• Assist in onboarding new clients and oversee communications to ensure compliance with regulatory requirements.

• Review and finalize supervisory oversight while providing management with updates on any issues related to client documentation or regulatory compliance.

• Guarantee that all investor communications comply with regulatory and compliance standards.

• Detect documentation and processing discrepancies and recommend corrective actions.

• Identify opportunities for enhancing documentation processes and workflows.

⛳️ Requirements

• A Bachelor’s degree in Finance, Business Administration, Communications, or a related area, or equivalent experience.

• A minimum of 2 years of relevant experience, preferably in the financial services sector.

• FINRA SIE and Series 7 are preferred (or a commitment to obtain them).

• Familiarity with communication regulations and industry standards governing regulatory investor communications.

• Must possess a detail-oriented mindset and a focus on customer satisfaction.

• Proficiency in Microsoft 365.

• Experience working effectively with both internal and external clients.

• Strong customer service and problem-solving abilities.

• Capability to multitask and prioritize while maintaining a strong attention to detail.

🏝️ Benefits

• Comprehensive healthcare benefits (medical, dental, vision, EAP).

• Competitive paid time off (PTO).

• 401k matching program.

• Parental leave.

• HSA contribution matching.

• Paid subscription to the Calm app.

• Generous external learning opportunities and tuition reimbursement benefits.