Investment Compliance Specialist

About the job  

Madison Trust Company specializes in Self-Directed IRA Accounts. The Investments Department is responsible for reviewing and processing client investment transactions while ensuring transactions are handled accurately and in accordance with company procedures, regulatory requirements, and applicable custody requirements. 

Salary: $53,000 annually 

Benefits: 401(k), health insurance, and gym discount

Schedule: Full-time, hybrid

Location: Montvale, NJ

Position Summary  

Madison Trust Company is seeking a detail-oriented and compliance-focused Investment Compliance Specialist to join our Investments Team. This role is responsible for reviewing and processing self-directed IRA investment transactions, ensuring documentation meets company, operational, and regulatory requirements. The ideal candidate will possess strong attention to detail, effective communication skills, and the ability to manage multiple priorities in a fast-paced, compliance-focused environment. 

Key Responsibilities  

• Review and approve investment transactions, asset transfers, direct/indirect rollovers, asset sales, and asset retirements across all asset types accepted under Madison Trust in compliance with established procedures and regulatory requirements. 
• Apply promissory note payments in accordance with department procedures and rotation schedules. 
• Perform pre-approvals of investment opportunities submitted by clients and sponsors to confirm eligibility for custody under Madison Trust. 
• Collaborate with other departments as needed to support smooth workflows across all transaction types processed under Madison Trust. 
• Follow established follow-up procedures for outstanding transactions to ensure timely funding and acquisition. 
• Respond to all client and internal inquiries within established processing timeframes via phone, email, and internal communication channels. 
• Deliver a high-quality client experience by answering inbound calls, addressing questions related to investment transactions, account activity, and processing status, and proactively following up on open items to keep clients informed throughout the transaction lifecycle. 
• Manage uploads and email distribution processes in accordance with department workflows; serve as backup assignor for incoming documents and emails as needed. 
• Research new investment opportunities or asset types as needed and present findings to the manager and compliance team. 
• Perform CRM cleanup projects as requested to ensure accurate and up-to-date records. 
• Process original documentation for client mailing or internal filing in accordance with department standards. 
• Perform related duties as assigned by the team lead and manager. 

Qualifications  

• Bachelor's degree in finance, business, or related field required. 
• Strong attention to detail with the ability to manage multiple tasks in a deadline-driven environment. 
• Clear and professional written and verbal communication skills. 
• Proficiency with Microsoft Office Suite and the ability to learn company-specific systems quickly. 

Core Competencies  

• Regulatory awareness and commitment to compliance 
• Accuracy and thoroughness in investment document review 
• Effective cross-functional collaboration and communication 
• Eagerness to learn and grow within a compliance-focused environment 

This job description is intended to describe the general nature and level of work performed. It is not an exhaustive list of all responsibilities, duties, and skills required. Duties and expectations may change at any time with or without notice at the discretion of management.