{"id":3885832,"url":"https://alion.io/job/broadridge-regulatory-operations-specialist","title":"Regulatory Operations Specialist","company":{"id":3889,"name":"Broadridge","domain":"broadridge.com","url":"https://alion.io/company/broadridge","size_band":"5000+","is_staffing_agency":false,"employer_type":"direct","is_intermediary":false,"listed_via":null,"ats_vendor":"Workday","truth_index":{"grade":"B","score":79,"open_postings":64,"ghost_share":0,"stale_share":0.828,"repost_share":0.016,"time_to_fill_p50_days":36,"computed_at":"2026-11-15T07:52:55Z"}},"role":"Operations","role_family":"Operations","seniority":"junior","employment_type":"full_time","work_mode":"hybrid","remote_scope":null,"remote_scope_basis":null,"remote_working_hours":null,"hiring_geo_confidence":"structured","locations":["Belgrade, Serbia"],"countries":["RS"],"hiring_countries":[],"hiring_countries_total":0,"salary":null,"salary_estimate":null,"experience_years_min":1,"visa_sponsorship":false,"relocation_package":false,"has_equity":false,"technologies":[{"name":"Microsoft Office","optional":false}],"status":"live","first_seen_at":"2026-11-06T19:34:28Z","employer_posted_date":"2026-11-06","last_verified_at":"2026-11-15T08:24:08Z","board_verified":true,"closed_at":null,"days_open":8,"trust":{"level":"ok","repost_count":null,"flags":[],"days_open":8},"description":"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.\nWe are looking to hire a Regulatory Operations Specialist to develop, implement and evaluate processes ensuring business goals and cost requirements are met.\nResponsibilities:\nOnboard and manage Qualified Intermediary (QI) clients, ensuring compliance with regulatory protocols\nPrepare Representative and Paying Agent Agreements, meticulously aligning with regulatory standards, including Swiss versions meeting rigorous requirements\nManage the publication process for fund documents, legal documents, and marketing materials, ensuring alignment with regulations and availability to relevant stakeholders\nSet up and onboard new client data, ensuring accurate integration into systems\nAssist in registration, listing, and distribution processes for foreign funds, ensuring adherence to regulatory timelines\nConduct detailed 1st and 2nd-level checks on FINMA invoices and notifications\nPopulate, validate, and process static data from legal documents related to fund management, upholding data integrity\nMaintain 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.\nRequirements:\nMinimum of 1 year of professional experience required\nAdvanced proficiency in MS Office applications and strong computer skills\nAdvanced English language skills\nStrong communication and teamwork abilities\nDemonstrated attention to detail and precision in compliance work\nAbility to review and approve DATA files ensuring accuracy and regulatory adherence.\n#LI-DS1\n#LI-Hybrid\nWe 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.\nUse of AI in Hiring \nAs 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. 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