Job Description
Compliance Specialist I (Entry Level) Location Cambridge, MA : About the business: LexisNexis Risk Solutions, Blue Sky Regulatory Solutions (“BSRS”) provides boutique compliance services to the financial services industry, specializing in state regulatory compliance. Backed by our LexisNexis Risk Solutions, Blue Sky Solution (“BSS”), our professionals work with compliance departments to facilitate the daily operations and meet Blue Sky compliance responsibilities, ensuring that firms meet every filing deadline and maintain current state authorizations, reducing potential liabilities and allowing firms to manage more effectively offering amounts and filing fees. About our team: You will closely with Compliance manager a colleague. The team is collaborative with a strong work and life balance. About the job: A Compliance specialist will act as a liaison between the State and BSRS in matters regarding Blue Sky filings by documenting conversations with State examiners and updating Department policies, procedures, and systems that reflect any change affecting Blue Sky filings. Ensure that all filing parameters and documentation produced from the system are done in compliance within department policy and states regulation. Present significant changes to the entire staff within the Blue Sky Group to ensure understanding and uniformity. You'll be responsible for:
- Entry Level role & Experience not required.
- Serve in the capacity of client service representative for both state examiners and BSRS clients.
- Maintain BSS to reflect accurate permit information and participate in department control programs (such as audits) to ensure timeliness and accuracy of all filings and data.
- Assume full ownership for client relationship and fund filing responsibilities including:
- Performing renewal and amendment filing activities for an assigned list of mutual funds and clients. Perform review of warning reports to identify action items and analyze historical sales data to project future filing needs. Perform special filings (initial registrations, name changes, FYE changes, terminations and reorganizations) only under close supervision and direction of the Manager.
- Working closely with the Manager to learn how to set up Blue Sky Solution (“BSS”) to perform more complex filing projects, such as initial applications, name changes and fund reorganizations.
- Reviewing all incoming State correspondence and compare to items in the pending files. Follow-up with State examiners on open items. Collate final documents, update BSS and keep all legal files in highest quality order for archive and retrieval.
- Communication of fund changes from client and preparation and submission of all files and related documents to state agencies.
- Maintenance of all fund files to ensure accurate and timely record keeping.
- Timely follow-up with state agencies on open filing issues and resolution per state instructions.
- Proactive management of fund files as necessary to accommodate new funds and to reflect changes to existing funds. This includes requesting new files and/or labels as appropriate and working with administrative support staff to prepare permanent files.
- The incumbent may be asked to perform other duties as assigned.
Qualifications: AS/AA degree preferred. Experience in working for a software organization, a plus. Experience with Microsoft Access, a plus. Proficient in Microsoft Office products. Proficient oral and written communication skills. Culture and benefits: Learn more about the LexisNexis Risk team and how we work (click: here) #LI-AR1 #LI-OnSite RELX is an equal opportunity employer: qualified applicants are considered for and treated during employment without regard to race, color, creed, religion, sex, national origin, citizenship status, disability status, protected veteran status, age, marital status, sexual orientation, gender identity, genetic information, or any other characteristic protected by law. We are committed to providing a fair and accessible hiring process. If you have a disability or other need that requires accommodation or adjustment, please let us know by completing our Applicant Request Support Form: . Please read our Candidate Privacy Policy .
Job Tags
Permanent employment, Full time, Work at office,