What are the responsibilities and job description for the Operations and Compliance Specialist position at Premier Path Wealth Partners?
About the job
The Operations and Compliance Specialist will oversee day-to-day operational workflows, investment operations, manage compliance responsibilities, and support the firm’s goals and initiatives.
Job Title: Operations and Compliance Specialist
Duties and responsibilities include, but are not limited, to:
- Oversee the firm’s operational infrastructure, ensuring smooth day-to-day business functions
- Lead the operational implementation of new firm initiatives i.e. launch proprietary fund, insurance solutions, consulting services, etc.
- Execute investment operations such as enrollments, capital calls, fund administration, etc.
- Process investment billing transactions
- Provide support for complex client initiatives
- Handle administrative and operational responsibilities of managing a suite of Alternative Investment solutions
- Help build, implement, and maintain firm’s business processes and workflows on CRM
- Help develop and lead the firm’s compliance culture
- Ensure firm’s compliance with industry regulations
- Manage and maintain the firm’s records
- Work closely with legal counsel, auditors, and regulatory agencies
The ideal candidate is one that is thorough in their work, operates with a high attention to detail, and has strong communication, organization, time management and problem-solving skills.
Qualifications:
- Strong verbal, written, and interpersonal communication skills
- Education: Bachelor’s degree in business related fields
- Experience: Minimum of 5-7 years of experience with an SEC-registered investment advisory or asset management firm
- Securities Licenses: Series 65 or comparable preferred
Skills and Abilities:
- Energized by working in a firm with aggressive growth aspirations.
- Ability to adapt to a rapidly changing and fast paced business and technology environment.
- Passionate about being challenged and continuing to learn and develop.
- Ability to work both independently and in a team environment.
- Effective organizational, multi-tasking, and prioritizing skills with a can-do approach to work.
- Enjoy working autonomously in creative problem solving
Salary: Competitive compensation based on relevant experience.
About Premier Path:
Premier Path values excellence with an aggressive pursuit of growth. We empower our team members to exceed expectations by providing an environment of autonomy, accountability and innovation. Rooted in integrity, collaboration, and grit, we are fierce advocates for our clients.
To foster a culture of entrepreneurship, we award our associates by making them owners of the firm’s success by sharing in our growth and profits.
Our family-like culture embraces a lifetime of learning, where your dedication fuels continuous improvement and unparalleled success.
We invest in our employees and offer competitive Health & Retirement Benefits! This full-time position is required on-site at our location in Madison, NJ.
Premier Path provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.