Operations Specialist (Investor Communications)

Apex Fintech Solutions • Austin, TX

23h • Hybrid

About The Position

The Operations Specialist (Investor Communications) will work with both internal stakeholders and clients to ensure delivery and accurate representation of regulatory and non-regulatory communications, such as trade confirmations and statements. The Operations Specialist will help to ensure client branding and communications are clear and compliant. They will engage in daily processes and project-oriented work to make Apex Fintech Solutions a best in class solution for investor communications.

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
• 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

Nice To Haves

• FINRA SIE and Series 7 preferred (or willingness to obtain them).

Responsibilities

• 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 customer.
• 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.
• On a daily basis 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.

Benefits

• We offer a robust package of employee perks and benefits, including healthcare benefits (medical, dental and vision, EAP), competitive PTO, 401k match, parental leave, and HSA contribution match.
• We also provide our employees with a paid subscription to the Calm app and offer generous external learning and tuition reimbursement benefits.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level