Operations and Compliance Specialist

Job Description

Position Description

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As an Operations and Compliance Specialist, you will work closely with our Operations, Compliance, and Client Services teams to support the firm’s day-to-day activity. In this role you will handle daily trade and account operations, support performance and compliance reporting, and help build out the firm’s tech stack, policies and procedures, and special projects. 

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About Maple Capital

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Founded in 2004, Maple Capital Management is built on the belief that every portfolio should be tailored to meet the unique goals of each client. With a strong reputation as a trusted investment manager for families, institutions, and insurance companies across the country, we combine deep expertise with a personalized approach. We are committed to cultivating a high-performing team that thrives in a vibrant, health-conscious, and outdoors-oriented environment—right here in Montpelier, Vermont.

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Why Join Maple Capital

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• Opportunity to grow with an employee-owned, fast-rising Registered Investment Advisor (RIA), where your contributions directly fuel our continued success
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• Flat organizational structure that encourages cross-functional collaboration and offers hands-on exposure to all areas of the business
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• Culture rooted in wellness , teamwork, and excellence, fostering both personal and professional growth
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• Regular company outings that build camaraderie and strengthen team bonds
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• Enthusiastic, client-focused team committed to continuous improvement and high standards of service
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• Ideal for professionals seeking challenge , growth, and meaningful impact in a dynamic investment environment
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Duties and Responsibilities:

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Account Operations

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• New account setup, registration changes, and account closings
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• Process incoming and outgoing account transfers through completion
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• Reconcile account data across systems, including portfolio accounting and custodial records
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• Assist in the development of automation/AI resources to support Client the Services and the Portfolio Management teams with automat
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• Assist with account billing data review
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• Process corporate actions, settlements, and distributions
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Trading and Daily Operations

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• Trade reconciliation
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• Process end-of-day fixed income and equity allocations
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• Conduct account eligibility review
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• Manage recurring data imports and related reconciliations
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Performance and Reporting

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• Run periodic and monthly performance reports
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• Review daily and monthly performance data
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• Support monthly processing of performance and GIPS composites
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• Support the annual GIPS verification with our third-party verifier
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• Review GIPS reports and performance marketing materials
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• Prepare and review monthly and quarterly client reports, including the quarter-end reporting cycle and sample portfolio updates
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Compliance

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• Compile the 13F report
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• Compile the 13H large trade review
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• Support proxy voting review and recordkeeping
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• Retrieve and archive custodial statements for books and records
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• Maintain the compliance surveillance log
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• Assist with third-party vendor review
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• Provide ad hoc compliance support
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Systems and Data

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• Manage data within our CRM to support the Client Services and Portfolio Management teams
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• Conduct periodic audits as needed and as prescribed by the Client Services and Portfolio Management teams
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• Work from documented procedures and contribute to the enhancement of automated workflows
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Our Next Operations Specialist Has

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• Strong executive functioning skills, well organized, is detail oriented, and has the ability to manage multiple tasks
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• A propensity to follow through and ensure that tasks have been completed
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• The ability to handle competing priorities with grace and composure
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• Comfort working within documented procedures and meeting recurring daily and monthly deadlines
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• Strong Excel skills and technical aptitude
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• Over 2 years of financial services experience (preferred)
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• A true interest in the investment profession
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• A bachelor’s degree from an accredited college or university (preferred)
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