Operations Specialist, Investor Communications

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PEAK6

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

💳 Fintech

📚 Education

Fintech • Investment • Education

PEAK6 is an innovative investment firm headquartered in Austin, Texas, with a global presence that includes a diverse portfolio of businesses. The company operates outside traditional investment practices, focusing on capturing unique opportunities and leveraging technology to enhance performance. PEAK6 encompasses various entities, including capital management, fintech solutions, and education initiatives, aiming to simplify processes, democratize financial access, and empower consumers. With over 25 years in the industry, PEAK6 strategically invests in transformative ideas, ensuring flexibility in the dynamic financial landscape.

📋 Description

• 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 • Work with and provide assistance to internal and external stakeholders, such as Apex internal teams, third party vendors, and customers • Be responsible for ensuring that customer inquiries are completed in accordance with service level agreement guidelines • Ensure that inquiries are responded to in a professional and timely manner and escalating issues to management • Aid in the onboarding of new clients and provide supervisory oversight of communications to ensure adherence to regulatory requirements • Review and complete supervisory oversight and provide updates to management regarding any issues with client documentation or regulatory compliance • Ensure all investor communications adhere to regulatory and compliance standards • Identify documentation/processing irregularities and outline corrective measures • Identify opportunities for improving documentation processes and workflows

🎯 Requirements

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

🏖️ Benefits

• healthcare benefits (medical, dental and vision, EAP) • competitive PTO • 401k match • parental leave • HSA contribution match • paid subscription to the Calm app • generous external learning and tuition reimbursement benefits