Regulatory Operations Supervisor

Level/Function: Team Lead, Operations

Title: Regulatory Operations Supervisor

About BetaNXT:

BetaNXT is a leading provider of frictionless wealth management infrastructure, real-time data solutions, and an enhanced advisor experience. We invest in platforms, products, and partnerships to accelerate growth for the ecosystem we serve. Our connective approach empowers our clients to deliver a comprehensive, end-to-end advisor and investor experience.

BetaNXT is a premier provider of technology, data, and operations as services to a rich client base of wealth managers, institutional wealth firms, and digital brokers. It is comprised of three industry-leading businesses which, combined, provide end-to-end solutions across the investment lifecycle.

Position Overview of the Regulatory Operations Supervisor:

The Operations Supervisor is responsible for the operations team; ensuring productivity, service levels are met, issues are addressed immediately and/or escalated appropriately.  Provides daily structure and oversight of daily operational tasks as well as managing complex projects for the team.  Performance management and goal setting are key deliverables for this role. This is a hybrid position based out of our Cary, NC office location with a current in office expectation of 3 days a week. 

  Duties and Responsibilities of the Regulatory Operations Supervisor:

• Demonstrate leadership across the team/organization
• Ensures consistency in execution across team
• Ensure daily work of the area is allocated, monitored, and completed according to deadlines.
• Maintain and ensure procedures are kept current
• Manage onboarding of new employees including equipment and Human Resources requests
• Responsible for SOC control compliance 
• Establishes priorities within the team, establishes work schedules, organizes, and directs the flow of work. Adjusts individual assignments as needed
• Attend and participate in technology development meetings (Sprints)
• Facilitate and lead team meetings 

• Coordinates and provides day to day oversight of processing and staff
• Educate and inform staff about department’s services and updates
• Identify potential obstacles or hurdles in meeting accuracy or performance requirements and incorporating best practices to mitigate and prevent each from occurring in the future.
• Identify process improvements and procedure updates
• Manage and direct multiple priorities within tight time constraints. 
• Interact with all levels of internal staff and management 
• Engage with peers, clients, and external business partners, promoting strong partnerships and working relationships
• Plan for and respond to changing processing, management needs, and seasonal fluctuations of workload.
• Other duties as assigned

 Skills and Experience of the Regulatory Operations Supervisor:

• 3+ years of experience in the financial services, wealth management, or fintech space.
• Demonstrated expertise in research, analysis, and critical thinking 
• High level of accuracy and attention to detail 
• Proficient in Microsoft Excel, including data manipulation and reporting 
• Capable of managing multiple tasks and projects within tight deadlines 
• Highly organized with effective time management strategies 
• Clear and professional communication skills, both written and verbal; able to engage with internal and external stakeholders 
• Maintains focus and consistency when performing repetitive tasks 
• Willingness to work flexible hours, including extended schedules when needed 
• Collaborative approach to working within teams and across departments 
• Skilled in visual inspection and quality assurance processes 
• Responsive to evolving business needs and able to adjust priorities accordingly