- Learn, recognize and apply regulatory requirements to daily work and responsibilities.
- Review and verify regulatory filing details to ensure accuracy of information.
- Complete all tasks and duties within the company's set guidelines, SLAs and compliance policies.
- Procure electronic versions of pertinent materials.
- Identify and escalate potential issues.
- Interact with peers, both internal and external, and function as part of a team.
- Ability to work and adjust output according to fluctuations of workload.
- Ability to critically think through processing steps to ensure accuracy.
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Operations Associate - Cary, United States - BetaNXT Inc
Description
Job Description
Job DescriptionCompany Overview
BetaNXT is a leading provider of frictionless wealth management infrastructure, real-time data solutions, and an enhanced advisor experience. We invest in platforms, products, and partnerships to accelerate growth for the ecosystem we serve. Our connective approach empowers our clients to deliver a comprehensive, end-to-end advisor and investor experience.
BetaNXT is a premier provider of technology, data, and operations as services to a rich client base of wealth managers, institutional wealth firms, and digital brokers. It is comprised of three industry-leading businesses which, combined, provide end-to-end solutions across the investment lifecycle.
Mediant, a BetaNXT company, provides investor communications technology and technology-enabled solutions to banks, brokers, corporations, funds and investment managers. Mediant's innovative technology ensures regulatory compliance and creates opportunities to strengthen shareholder and client engagement.
Overview of Post Sale Operations Associate
The primary purpose of the Post Sale group is to ensure that all asset classes and/or securities requiring post sale prospectus or offering material delivery are set-up in the Company's proprietary database as established by regulatory guidelines.
Our Post-Sale Team ensures accurate fulfillment of both electronic and print distributions of offering documents for a variety of asset classes and security types. The security types include but are not limited to, mutual funds, ETFs, common stock, corporate bonds, municipal bands, GSE securities, and CDs.
This is a Hybrid position. We are looking for someone to work out of our Cary, NC office 3 times a week.
Duties and Responsibilities of the Post Sale Operations Associate
The Post Sale Operations associate will be responsible for procuring and reviewing documents that will be used for post trade fulfillment within the specified SLAs:
