Operations and Compliance Specialist

As a Compliance and Operations Specialist, you will work closely with our Operations, Compliance and Client Services teams focusing on supporting the firm.

You will help assist with the build out of the firm’s tech stack, policies and procedures, and special projects.

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.

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

• New Account Process / Setup
• Prepare and review monthly and quarterly reports
• Manage data within our CRM to support the Client Services and Portfolio Management teams
• Conduct periodic audits as needed and prescribed by the Client Services and Portfolio Management teams
• Perform routine maintenance across systems to ensure data accuracy
• Corporate actions and settlements distributions

• Run periodic and monthly performance reports
• Review daily and monthly performance data
• Monthly processing of performance / GIPS composites
• Perform GIPS verification with ACA

• Compile 13F report
• Compile 13H large trade review
• Third party vendor review
• Ad hoc compliance support

• Attention to detail, well organized, and able to manage multiple tasks
• Propensity to follow through and ensure that tasks have been completed
• Ability to handle competing priorities with grace and composure
• Strong Excel skills and technical aptitude
• Over 2 years of financial services experience (preferred)
• True interest in the investment profession

Entry level

Full-time

Management and Manufacturing

Investment Management