Regulatory Operations Specialist

At Broadridge, we've built a culture where the highest goal is to empower others to accomplish more. If you’re passionate about developing your career, while helping others along the way, come join the Broadridge team.

We are looking to hire a Regulatory Operations Specialist to develop, implement and evaluate processes ensuring business goals and cost requirements are met.

Responsibilities:

• Onboard and manage Qualified Intermediary (QI) clients, ensuring compliance with regulatory protocols
• Prepare Representative and Paying Agent Agreements, meticulously aligning with regulatory standards, including Swiss versions meeting rigorous requirements
• Manage the publication process for fund documents, legal documents, and marketing materials, ensuring alignment with regulations and availability to relevant stakeholders
• Set up and onboard new client data, ensuring accurate integration into systems
• Assist in registration, listing, and distribution processes for foreign funds, ensuring adherence to regulatory timelines
• Conduct detailed 1st and 2nd-level checks on FINMA invoices and notifications
• Populate, validate, and process static data from legal documents related to fund management, upholding data integrity
• Maintain an allocated client portfolio, ensuring fund documents remain up-to-date and compliant; provide monthly Competitors Statistic reports; collaborate with Fund Regulations CH and EU teams.

Requirements:

• Minimum of 1 year of professional experience required
• Advanced proficiency in MS Office applications and strong computer skills
• Advanced English language skills
• Strong communication and teamwork abilities
• Demonstrated attention to detail and precision in compliance work
• Ability to review and approve DATA files ensuring accuracy and regulatory adherence.

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We are dedicated to fostering a collaborative, engaging, and inclusive environment and are committed to providing a workplace that empowers associates to be authentic and bring their best to work. We believe that associates do their best when they feel safe, understood, and valued, and we work diligently and collaboratively to ensure Broadridge is a company—and ultimately a community—that recognizes and celebrates everyone’s unique perspective. 

Use of AI in Hiring 

As part of the recruiting process, Broadridge may use technology, including artificial intelligence (AI)-based tools, to help review and evaluate applications. These tools are used only to support our recruiters and hiring managers, and all employment decisions include human review to ensure fairness, accuracy, and compliance with applicable laws. Please note that honesty and transparency are critical to our hiring process. Any attempt to falsify, misrepresent, or disguise information in an application, resume, assessment, or interview will result in disqualification from consideration.