Operations and Compliance Specialist

Position Description

In order to make an application, simply read through the following job description and make sure to attach relevant documents.
As an Operations and Compliance Specialist, you will work closely with our Operations, Compliance, and Client Services teams to support the firm’s day-to-day activity. In this role you will handle daily trade and account operations, support performance and compliance reporting, and help build out the firm’s tech stack, policies and procedures, and special projects.  About Maple Capital 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. Why Join Maple CapitalOpportunity to grow with an employee-owned, fast-rising Registered Investment Advisor (RIA), where your contributions directly fuel our continued successFlat organizational structure that encourages cross-functional collaboration and offers hands-on exposure to all areas of the businessCulture rooted in wellness, teamwork, and excellence, fostering both personal and professional growthRegular company outings that build camaraderie and strengthen team bondsEnthusiastic, client-focused team committed to continuous improvement and high standards of serviceIdeal for professionals seeking challenge, growth, and meaningful impact in a dynamic investment environment Duties and Responsibilities:
Account OperationsNew account setup, registration changes, and account closingsProcess incoming and outgoing account transfers through completionReconcile account data across systems, including portfolio accounting and custodial recordsAssist in the development of automation/AI resources to support Client the Services and the Portfolio Management teams with automatAssist with account billing data reviewProcess corporate actions, settlements, and distributions
Trading and Daily OperationsTrade reconciliationProcess end-of-day fixed income and equity allocationsConduct account eligibility reviewManage recurring data imports and related reconciliations
Performance and ReportingRun periodic and monthly performance reportsReview daily and monthly performance dataSupport monthly processing of performance and GIPS compositesSupport the annual GIPS verification with our third-party verifierReview GIPS reports and performance marketing materialsPrepare and review monthly and quarterly client reports, including the quarter-end reporting cycle and sample portfolio updates
ComplianceCompile the 13F reportCompile the 13H large trade reviewSupport proxy voting review and recordkeepingRetrieve and archive custodial statements for books and recordsMaintain the compliance surveillance log xzbcwsv Assist with third-party vendor reviewProvide ad hoc compliance support
Systems and DataManage data within our CRM to support the Client Services and Portfolio Management teamsConduct periodic audits as needed and as prescribed by the Client Services and Portfolio Management teamsWork from documented procedures and contribute to the enhancement of automated workflows
Our Next Operations Specialist HasStrong executive functioning skills, well organized, is detail oriented, and has the ability to manage multiple tasksA propensity to follow through and ensure that tasks have been completedThe ability to handle competing priorities with grace and composureComfort working within documented procedures and meeting recurring daily and monthly deadlinesStrong Excel skills and technical aptitudeOver 2 years of financial services experience (preferred)A true interest in the investment professionA bachelor’s degree from an accredited college or university (preferred)