Regulatory Operations Supervisor

BetaNXT•Cary, NC

68d

About The Position

BetaNXT is a leading provider of frictionless wealth management infrastructure, real-time data solutions, and an enhanced advisor experience. We invest in platforms, products, and partnerships to accelerate growth for the ecosystem we serve. Our connective approach empowers our clients to deliver a comprehensive, end-to-end advisor and investor experience. BetaNXT is a premier provider of technology, data, and operations as services to a rich client base of wealth managers, institutional wealth firms, and digital brokers. It is comprised of three industry-leading businesses which, combined, provide end-to-end solutions across the investment lifecycle. The Operations Supervisor is responsible for the operations team; ensuring productivity, service levels are met, issues are addressed immediately and/or escalated appropriately. Provides daily structure and oversight of daily operational tasks as well as managing complex projects for the team. Performance management and goal setting are key deliverables for this role.

Requirements

3+ years of experience in the financial services, wealth management, or fintech space.
Demonstrated expertise in research, analysis, and critical thinking
High level of accuracy and attention to detail
Proficient in Microsoft Excel, including data manipulation and reporting
Capable of managing multiple tasks and projects within tight deadlines
Highly organized with effective time management strategies
Clear and professional communication skills, both written and verbal; able to engage with internal and external stakeholders
Maintains focus and consistency when performing repetitive tasks
Willingness to work flexible hours, including extended schedules when needed
Collaborative approach to working within teams and across departments
Skilled in visual inspection and quality assurance processes
Responsive to evolving business needs and able to adjust priorities accordingly

Responsibilities

Demonstrate leadership across the team/organization
Ensures consistency in execution across team
Ensure daily work of the area is allocated, monitored, and completed according to deadlines.
Maintain and ensure procedures are kept current
Manage onboarding of new employees including equipment and Human Resources requests
Responsible for SOC control compliance
Establishes priorities within the team, establishes work schedules, organizes, and directs the flow of work. Adjusts individual assignments as needed
Attend and participate in technology development meetings (Sprints)
Facilitate and lead team meetings
Coordinates and provides day to day oversight of processing and staff
Educate and inform staff about department's services and updates
Identify potential obstacles or hurdles in meeting accuracy or performance requirements and incorporating best practices to mitigate and prevent each from occurring in the future.
Identify process improvements and procedure updates
Manage and direct multiple priorities within tight time constraints.
Interact with all levels of internal staff and management
Engage with peers, clients, and external business partners, promoting strong partnerships and working relationships
Plan for and respond to changing processing, management needs, and seasonal fluctuations of workload.
Other duties as assigned