Investor Services Associate

About the Role

We're hiring an Investor Services Associate at our FINRA/SEC-registered broker-dealer. You'll handle investor inquiries, process subscription documents, and resolve not-in-good-order (NIGO) items. You'll also keep onboarding and communication records accurate. The role suits a detail-oriented person who wants to build a career in fund operations in a regulated environment.

Key Responsibilities

Investor Communications

• Manage the investor services inbox and call queue. Answer questions about subscriptions, distributions, account access, redemptions, accreditation and tax documents.

• Draft outbound correspondence from firm templates. The VP of Operations reviews it before it goes out.

• Keep the inquiry log current. Escalate possible complaints or regulatory matters to the VP of Operations and Compliance.

• Point out recurring issues and friction points so the process can improve.

• Assist in the distribution/publishing of fund documents.

Onboarding & Subscription Processing

• Review and process subscription packages for interval funds, closed-end funds, non-traded REITs and BDCs.

• Perform the first NIGO review and work with distribution partners, RIAs and investors to fix any gaps.

• Check investor eligibility documents, including accreditation, suitability and concentration limits, against Reg BI, FINRA Rule 2111 and fund rules. Escalate any concerns.

• Enter and update account data in back-office systems.

• Track the subscription pipeline and report time-to-funding and pending items.

• Assist in management of funding/offering deadlines.

Operations & Compliance Support

• Follow department procedures and flag any gaps or inconsistencies you find.

• Facilitate maintenance of records in line with SEC Rules 17a-3 and 17a-4.

• Help compile metrics: response times, NIGO (Not In Good Order) rates, call volume, and time-to-funding.

• Help test digital subscription, e-signature, and CRM tools.

• Complete required training. Follow firm policies on electronic communications, Reg S-P, and AML.

Qualifications
Required

• 1–3 years in financial services operations, investor services, transfer agency or fund administration. Recent graduates with relevant internships are welcome.

• Some familiarity with investor onboarding or subscription processing.

• Strong attention to detail in a high-volume setting.

• Clear, professional written and verbal communication.

• Proficiency in Microsoft Office. Comfortable learning CRM and digital subscription tools.

• SIE, Series 7 and Series 63 (or 66), or progress toward them. Registrations must be obtained within 3 months of hire.

Preferred

• Experience at a broker-dealer, RIA, transfer agent or fund administrator working with alternative investment products.

• Experience in supporting of retail investors.

• Exposure to Reg BI, FINRA Rule 2111 or retail eligibility requirements.

• Experience with DocuSign, shared inbox tools or investor CRMs.

• Working knowledge of SEC Rules 17a-3/17a-4 and Reg S-P.

What We're Looking For

• Accurate: You catch errors before they reach investors or regulators.

• Responsive: You handle a high volume of requests quickly and professionally.

• Aware of the rules: You apply regulations in daily work and know when to escalate.

• Organized: You keep track of many files and deadlines at once.

• Collaborative and coachable: You follow procedures, ask for guidance and take feedback on board.