Investor Communications Operations Specialist

Apex Fintech Solutions; Austin (TX); Hybrid; USD 52,000 - 70,000; Full time

Benefits offered by this job

Healthcare benefits (medical, dental,

PTO

401k match

Parental leave

HSA contribution match

Calm app subscription

Tuition reimbursement

Hybrid work schedule

Job summary

Apex Fintech Solutions is seeking an Operations Specialist (Investor Communications) to manage the preparation, review, and delivery of investor communications with focus on accuracy and regulatory compliance. You’ll collaborate with internal teams and clients, ensure branding consistency, and uphold SLAs while supporting onboarding and risk management efforts.

Ideal candidates have a Finance or related degree, 2+ years in financial services, and familiarity with FINRA rules; Series 7/SIE

Qualifications

• Bachelor’s degree in Finance, Business Administration, Communications, or related field or equivalent experience.
• 2+ years of experience in financial services preferred.
• FINRA SIE and Series 7 preferred (or willingness to obtain them).

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 internal and external stakeholders, such as Apex internal teams, third party vendors, and customers. Ensure inquiries are completed per SLA guidelines and escalated when needed. Aid onboarding of new clients and provide supervision of communications to ensure regulatory adherence.
• Supervisory Oversight, Compliance, and Risk Management: Daily review and provide updates to management regarding issues with client documentation or regulatory compliance. Ensure all investor communications adhere to regulatory standards. Identify irregularities and outline corrective measures. Propose improvements to workflows.

Skills

Regulatory communications

Detail-oriented

Microsoft 365

Client relationships

Customer service

Multitasking

Education

Bachelor's degree or equivalent

FINRA SIE / Series 7 preferred

Job description

Apex Fintech Solutions is seeking an Operations Specialist (Investor Communications) to manage the preparation, review, and delivery of investor communications with focus on accuracy and regulatory compliance. You’ll collaborate with internal teams and clients, ensure branding consistency, and uphold SLAs while supporting onboarding and risk management efforts.

Ideal candidates have a Finance or related degree, 2+ years in financial services, and familiarity with FINRA rules; Series 7/SIE