Operations and Compliance Specialist

About the jobThe 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 SpecialistDuties and responsibilities include, but are not limited, to: Oversee the firm's operational infrastructure, ensuring smooth day-to-day business functionsLead 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 transactionsProvide support for complex client initiativesHandle administrative and operational responsibilities of managing a suite of Alternative Investment solutionsHelp build, implement, and maintain firm's business processes and workflows on CRMHelp develop and lead the firm's compliance cultureEnsure firm's compliance with industry regulationsManage and maintain the firm's recordsWork closely with legal counsel, auditors, and regulatory agenciesThe 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 skillsEducation: Bachelor's degree in business related fieldsExperience: Minimum of 5-7 years of experience with an SEC-registered investment advisory or asset management firmSecurities Licenses: Series 65 or comparable preferredSkills 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 solvingSalary: 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.

Created: 2025-02-21