Annuity and Securities Operations Specialist

Annuity and Securities Operations Specialist/Remote/Contract
REMOTE - EST or CST time zone only
2 positions open

Key Responsibilities

• Lead the planning, coordination, and execution of regulatory shareholder communications, including:
  • Summary Prospectuses (SEC Rule 498A)
  • Tailored Shareholder Reports both the Annual and Semi Annual
  • Other SEC required mailings
• Serve as the subject matter expert for regulatory reporting, shareholder communications, and regulatory delivery requirements.
• Coordinate with approximately 50 stakeholders across Legal, Compliance, Product, Operations, Marketing, IT, and external vendors.
• Manage the end to end regulatory mailing process, including:
  • Content collection
  • File creation
  • Print production
  • eDelivery coordination
  • Fulfillment instructions
  • Quality control reviews
  • Mailing execution
• Ensure all regulatory requirements, timelines, controls, and quality standards are met.
• Oversee the transfer of reporting data, disclosure materials, and production files between internal teams and vendors.
• Partner with print, fulfillment, and eDelivery vendors to support large scale regulatory communication programs.
• Lead cross functional communication and project coordination for recurring reporting cycles.
• Support compliance and governance activities, including Rule 38a-1 documentation, controls, and reporting.
• Review, document, and enhance procedures, controls, and workflows to improve audit readiness and operational efficiency.
• Assist with process optimization initiatives and provide coverage for critical business functions as needed.

Required Qualifications

• 5+ years of experience managing SEC regulated shareholder communications, regulatory mailings, or financial publishing.
• Hands on experience with SEC Rule 498A Summary Prospectus mailings and shareholder delivery requirements.
• Experience supporting Annual Reports, Semi Annual Reports, Tailored Shareholder Reports, Summary Prospectuses, and similar regulatory communications.
• Strong understanding of securities industry disclosure and regulatory communication requirements.
• Experience supporting Rule 38a-1 compliance activities, governance, controls, and documentation.
• Experience working directly with financial publishing, print, fulfillment, and eDelivery vendors such as DFIN, Broadridge, SS&C, DST, CCS, or similar providers.
• Experience within insurance, mutual fund, asset management, investment management, or wealth management organizations is strongly preferred.

Motion Recruitment Partners (MRP) is an Equal Opportunity Employer. All applicants must be currently authorized to work on a full-time basis in the country for which they are applying, and no sponsorship is currently available. Employment is subject to the successful completion of a pre-employment screening. Accommodation will be provided in all parts of the hiring process as required under MRP's Employment Accommodation policy. Applicants need to make their needs known in advance.