Operations Specialist (Investor Communications)
HybridAustin, Texas, United States
Job Summary
Prepare and review investor documentation, including agreements, disclosures, and compliance-related materials, while ensuring all investor communications adhere to regulatory and compliance standards. Process Investor Communications requests within processing deadlines and perform regular reconciliation to identify documentation irregularities and outline corrective measures. Work with internal teams, third-party vendors, and customers to ensure inquiries are completed according to service level agreement guidelines, responding professionally and escalating issues to management as needed. Aid in the onboarding of new clients and provide supervisory oversight of communications to maintain adherence to regulatory requirements.
Required Qualifications
- Bachelor's degree in Finance, Business Administration, Communications, or a related field
- 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
Desired Qualifications
- FINRA SIE and Series 7 preferred (or willingness to obtain them)
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