Hybrid Investor Communications Operations Specialist

PEAK6; Austin (TX); Hybrid; USD 65,000 - 90,000; Full time

Benefits offered by this job

Healthcare benefits

Competitive PTO

401k match

Parental leave

HSA contribution match

Calm app subscription

Tuition reimbursement

Hybrid work schedule

Job summary

Apex Fintech Solutions (Apex) seeks an Operations Specialist to manage investor communications, ensuring accurate regulatory and non-regulatory materials such as trade confirmations and statements are produced and compliant. You will coordinate with internal teams and clients to uphold brand consistency and rigorous standards.

In this role, you’ll oversee daily processes, assist in onboarding new clients, and help governance through supervision of communications to meet regulatory requirements.

Qualifications

• Bachelor's degree or equivalent experience in Finance/Business/Comms or related field.
• 2+ years of experience in financial services preferred.
• FINRA SIE and Series 7 preferred (or willingness to obtain)
• Familiarity with regulations governing investor communications.
• Detail-oriented with strong customer-service focus.

Responsibilities

• Assist in preparation/review of investor documentation, disclosures, and compliance materials.
• Process Investor Communications requests within deadlines.
• Perform regular reconciliations to ensure compliance.
• Support internal/external stakeholders including vendors and customers.
• Respond to inquiries per SLA and escalate issues as needed.
• Onboard new clients and supervise communications to meet regulatory requirements.
• Provide supervisory oversight and updates to management on issues with documentation or compliance.
• Identify process improvements for documentation/workflows.

Skills

Regulatory knowledge

Detail-oriented

Customer service

Problem solving

Multitasking

Education

Bachelor's degree in Finance, Business Administration, Communications, or related field

Tools

Microsoft 365

Job description

Apex Fintech Solutions (Apex) seeks an Operations Specialist to manage investor communications, ensuring accurate regulatory and non-regulatory materials such as trade confirmations and statements are produced and compliant. You will coordinate with internal teams and clients to uphold brand consistency and rigorous standards.

In this role, you’ll oversee daily processes, assist in onboarding new clients, and help governance through supervision of communications to meet regulatory requirements.