Regulatory Associate

Level/Function: Senior Associate, Operations

Title: Regulatory Associate

About BetaNXT

BetaNXT powers the future of connected wealth management infrastructure solutions, leveraging real-time data capabilities to enhance the wealth advisor experience. Combining industry expertise with the power of our proven Beta, Maxit, and Mediant businesses, we are focused on solving our customers’ most demanding integration challenges with flexible, efficient, connected solutions that anticipate their changing needs. Our comprehensive approach reduces enterprise cost, streamlines operations processes, increases advisor productivity, and enhances the investor experience. Together with BetaNXT, wealth management firms are transforming their platforms into differentiating assets that enable enterprise scale and stimulate commercial growth. For more information visit www.betanxt.com .

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.

Position Overview Of The Regulatory Associate

The purpose of the Regulatory group is to ensure that fund asset classes and securities requiring annual prospectus and reports delivery are set-up in our proprietary database as established by regulatory guidelines.

Our Regulatory team ensures accurate fulfillment of both electronic and print distributions of prospectus, semi-annual and annual reports. The Regulatory Associate will be responsible for processing requests from Investment Companies and Fund Administrators. This includes job building, material procurement and fund communications. This is a hybrid position with an in-office requirement of 3 days a week.

Duties And Responsibilities Of The Regulatory Associate

• Set up distribution request in back-office systems.
• Review and verify regulatory filing details to ensure accuracy of information.
• Maintain an accurate data base of security details.
• Interact with fund contacts to ensure accurate processing and seamless delivery.
• Effectively handle inquires within a timely manner.
• Function as part of a team to foster smooth efficient workflow.
• Timely escalation to supervisor
• Manage and direct multiple priorities within tight time constraints while maintaining composure under pressure.
• Learn, recognize, and apply regulatory requirements to daily work and responsibilities.
  
  
  

Skills And Experience Of The Regulatory Associate

• 1+ year(s) of experience in business operations or financial services industry.
• Experience marketing in a B2B environment. Able to build relationship with management and work with internal/external clients.
• Must be able to organize, prioritize and complete tasks within established time constraints.
• Able to work in a high-pressure environment and meet numerous deadlines.
• Knowledge in Microsoft Suite and effectively use email and phone.
• Solid verbal and written communications skills
• Excellent research skills
• Able to multitask and work on multiple projects.
• Ability to work overtime and flexible work hours.