Investor Services Associate

Templum Markets LLC; United States; On-site; USD 60,000 - 85,000; Full time

Job summary

Templum Markets LLC is seeking an Investor Services Associate to support investor inquiries, process subscriptions, and resolve not-in-good-order items within a FINRA/SEC-registered broker-dealer. The role emphasizes accuracy, regulatory awareness, and timely communication.

You will maintain onboarding records, draft outbound communications, and help ensure compliance with Reg BI, FINRA rules, and SEC recordkeeping while coordinating with distribution partners and RIAs.

Qualifications

• 1–3 years in financial services operations, investor services, transfer agency or fund administration.
• Familiarity with investor onboarding or subscription processing.
• Strong attention to detail in a high-volume setting.
• Clear, professional written and verbal communication.
• Proficiency in Microsoft Office; comfortable with CRM and digital subscription tools.
• Registrations must be obtained within 3 months of hire (SIE, Series 7, Series 63/66).

Responsibilities

• Manage the investor services inbox and call queue; answer questions about subscriptions, distributions, account access, redemptions, accreditation and tax documents.
• Draft outbound correspondence from firm templates; reviewed by the VP of Operations.
• Keep the inquiry log current and escalate regulatory matters to the VP of Operations and Compliance.
• Highlight recurring issues to improve processes.
• Assist in the distribution/publishing of fund documents.
• Review subscription packages for interval funds, closed-end funds, non-traded REITs and BDCs.
• Perform first NIGO review and coordinate with distribution partners, RIAs and investors to fix gaps.
• Enter and update account data in back-office systems.
• Track subscription pipeline and report time-to-funding and pending items.
• Assist in managing funding/offering deadlines.
• Follow department procedures and maintain SEC-compliant records.

Skills

Attention to detail

Written and verbal communication

Microsoft Office

CRM familiarity

Regulatory knowledge

Education

SIE, Series 7 & Series 63/66

Tools

CRM tools

DocuSign

E-signature tools

MS Office

Job description

About the Role

We're hiring an Investor Services Associate at our FINRA/SEC-registered broker-dealer. You'll handle investor inquiries, process subscription documents, and resolve not-in-good-order (NIGO) items. You'll also keep onboarding and communication records accurate. The role suits a detail-oriented person who wants to build a career in fund operations in a regulated environment.

Key ResponsibilitiesInvestor Communications

• Manage the investor services inbox and call queue. Answer questions about subscriptions, distributions, account access, redemptions, accreditation and tax documents.
• Draft outbound correspondence from firm templates. The VP of Operations reviews it before it goes out.
• Keep the inquiry log current. Escalate possible complaints or regulatory matters to the VP of Operations and Compliance.
• Point out recurring issues and friction points so the process can improve.
• Assist in the distribution/publishing of fund documents.

Onboarding & Subscription Processing

• Review and process subscription packages for interval funds, closed-end funds, non-traded REITs and BDCs.
• Perform the first NIGO review and work with distribution partners, RIAs and investors to fix any gaps.
• Check investor eligibility documents, including accreditation, suitability and concentration limits, against Reg BI, FINRA Rule 2111 and fund rules. Escalate any concerns.
• Enter and update account data in back-office systems.
• Track the subscription pipeline and report time-to-funding and pending items.
• Assist in management of funding/offering deadlines.

Operations & Compliance Support

• Follow department procedures and flag any gaps or inconsistencies you find.
• Facilitate maintenance of records in line with SEC Rules 17a-3 and 17a-4.
• Help compile metrics: response times, NIGO (Not In Good Order) rates, call volume, and time-to-funding.
• Help test digital subscription, e-signature, and CRM tools.
• Complete required training. Follow firm policies on electronic communications, Reg S-P, and AML.

Qualifications

Required

• 1–3 years in financial services operations, investor services, transfer agency or fund administration. Recent graduates with relevant internships are welcome.
• Some familiarity with investor onboarding or subscription processing.
• Strong attention to detail in a high-volume setting.
• Clear, professional written and verbal communication.
• Proficiency in Microsoft Office. Comfortable learning CRM and digital subscription tools.
• SIE, Series 7 and Series 63 (or 66), or progress toward them. Registrations must be obtained within 3 months of hire.

Preferred

• Experience at a broker-dealer, RIA, transfer agent or fund administrator working with alternative investment products.
• Experience in supporting of retail investors.
• Exposure to Reg BI, FINRA Rule 2111 or retail eligibility requirements.
• Experience with DocuSign, shared inbox tools or investor CRMs.
• Working knowledge of SEC Rules 17a-3/17a-4 and Reg S-P.

What We're Looking For

• Accurate: You catch errors before they reach investors or regulators.
• Responsive: You handle a high volume of requests quickly and professionally.
• Aware of the rules: You apply regulations in daily work and know when to escape.
• Organized: You keep track of many files and deadlines at once.
• Collaborative and coachable: You follow procedures, ask for guidance and take feedback on board.