Investor Services Associate: Subscriptions & Compliance

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

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.