Apex Fintech Solutions UK (a PEAK6 company) is a fintech powerhouse enabling seamless ac...
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.
Duties/Responsibilities
Core Investor Communications Operations: 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.
Client Service: 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.
Supervisory Oversight, Compliance, and Risk Management: 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.
Education and/or Experience
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).
Required/Skills Abilities
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
Work Environment
This job operates in a hybrid, office environment 2 days per week.
