Regulated Document Specialist

What You'll Do

Coordinate the distribution, web hosting, and archiving of regulated documents to retail and retirement shareholders according to federal laws and internal controls. This includes prospectuses, supplements, SAIs, semi-annual reports, annual reports, information statements, proxies, and more. Review and track production quality and schedules. Communicate with internal and external production staff and business partners to ensure requirements and deadlines are met. Additionally, identify opportunities and suggest improvements for workflows, procedures, and processes.

• Coordination:
  • Manage the production and distribution of regulated documents in accordance with federal rules and approved internal controls, standards, and process guidelines.
  • Develop project plans and checklists, determine production schedules, establish timing with the selected vendor, prioritize tasks, and review quality and progress during production.
  • Share documents and information with internal groups using the website, Virtual Supply, and shared drives, and with external parties such as sub‑advisors. Keep printed materials for ongoing and new registered products according to Records Retention policies.
• Collaboration:
  • Work with internal and external production staff and business partners to resolve timing and prioritization discrepancies within set limits. Ensure requirements are fulfilled and distribution schedules are maintained.
  • Act as the first contact to handle issues, respond to questions, or listen to complaints.
  • Share relevant points during daily team or manager meetings to seek advice or elevate unusual matters to senior staff or managers as needed.
• Innovation:
  • Review and analyze documents, processes, and workflow steps to find opportunities and solutions for improving procedures and workflows. Emphasize cost‑saving operational efficiencies.
  • Note improvements in the checklist. Present suggestions to partners. If agreed upon, help with documenting and launching their roll‑out.
• Perform other job‑related duties or special projects as required.
• This position requires successful completion of a credit history check.

• Requires high school diploma (some college coursework preferred) and 4+ years of related experience.
• Good problem solving, time management, organizational, and oral and written communication skills required.
• Must be detail oriented, able to maintain a high degree of accuracy, meet established deadlines, and handle multiple tasks with effective prioritization.
• Must be a self‑starter, have good customer service skills, and be able to communicate effectively with internal and external contacts.
• Ability to learn systems and applications used within the firm required.
• Knowledge of, or the ability to develop, the funds business and regulated document distribution requirements associated with it, including state and federal securities laws.

• Being detail oriented.

Salary ranges below reflect targeted base salaries. Non‑sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation for all roles will be based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer.

$21.46 - $28.77 per hour

Personal Time Off (PTO) is provided to hourly (non‑exempt) employees and provides a set amount of accrued time earned each pay period. Employees can use their PTO for vacation, personal or short‑term illness.

Yes

Des Moines, IA

This role offers a hybrid schedule (blending at least three office days in a typical workweek).

At this time, we are not considering applicants who require any type of immigration sponsorship now or in the future to work in the United States. This includes F1‑OPT, F1‑CPT, H‑1B, TN, L‑1, J‑1, and others.