Compliance Specialist I

2 weeks ago

Cambridge, United States LexisNexis Risk Solutions Full time

**Essential Job Functions**:This job description indicates the general level and nature of work expected of the incumbent. It is not a comprehensive list of specific duties or activities associated with the position. The incumbent may be asked to perform other duties as assigned.

**Audit & Control Program** - The Auditor is the secondary owner of the internal audit program and is therefore responsible for the following activities on an on-going basis to ensure that BSS data updates are done accurately and that exception reports and system work items prompt users for filings at the appropriate time:

- Permit Verifications for all client filings for Initials, Renewals and Increases or any filing that functions as a renewal such as Texas 133.27 Sales Reports and Washington and Texas “extend unsold balance” filings.
- Maintain Audit Log for all client accounts as evidence of audit in compliance with NRS written policy and procedures and outsourcing client contracts.
- Audit the funds for new customers to ensure the data provided for the conversion from the previous provider is correct; where discrepancies are found the audit will work with the supervisor and the state examiners, and where appropriate with the client, to address and resolve any compliance issues.
- Under the direction and supervision of the Manager or Supervisor, audit data stored on Blue Sky Solution such as the sales to existing security holder settings, prospectus configurations, sales file data mappings applied by the Sales Feed Support Team, Fund Administration Reports or other specific data elements that changed due to a client or state mandated change.

**End User Testing of System Updates and State Rule Changes**
- Develop test cases or test matrices as may be necessary to ensure thorough testing of all system updates. Include both positive and negative test cases to ensure adequate testing of system changes.
- Work with the technology staff to identify and clarify issues with the software and document such issues.
- Review test results with VP for confirmation and sign off on testing of an issue when it has been deemed to have “passed” end user test cases satisfactorily.

**Minimum Position Requirements**:
**Education and Experience**:

- Bachelors Degree or equivalent job experience.
- Superior performance in current position.
- Strong business knowledge of Blue Sky Solution system and related risk management control procedures. Previous supervisory/management experience is required.
- A team player with outstanding interpersonal skills and strong communication skills.
- Strong organizational skills with great attention to detail and a significantly high “I care quotient”.

**Skills/Knowledge/Competencies**:

- Computer literate, with a strong aptitude in the Microsoft Office Suite, specifically with Word, Excel and Outlook. Basic understanding of Q/A function and development of test cases for both positive and negative results.
- Experience managing people in both a team environment and with individual contributors. Ability to juggle rapidly changing priorities while maintaining an even temperament and calm demeanor. Makes good decisions based on a mixture of analysis, wisdom, experience and judgment. Quickly grasps the complexities of problems and uses sound analyses to identify solutions, foresee obstacles, and recognize opportunities for the organization. Encourages alternative approaches and new ideas; provides analysis and solutions to complex problems to others, as requested; brings strategic perspective to challenging situations, makes decisions based on organization’s goals; identifies patterns and trends in complex data and uses those patterns to outline a path forward.
- Results driven by doing everything possible to contribute to strategic goals, persisting in the face of obstacles, maintaining and communicating a clear vision of the desired results, holding self and other accountable for achieving results, leading or championing efforts to increase productivity and goal accomplishment throughout the organization.
- Team orientation, customer focus, flexibility and adaptability, integrity and trust, organizational skills, attention to detail, good follow through, understanding and appreciation of regulatory functions and issues. Actively develops strong supportive and collaborative working relationships with others across all career levels, functions, cultural and organizational boundaries to achieve objectives. Gains the trust and respect of others by encouraging and enabling cooperation, resolving/addressing conflicts that effect performance, building and cultivating diverse teams, and actively seeks opportunities to work with others across the organization.

Pay: $49,000.00 - $50,000.00 per year

**Benefits**:

- 401(k) matching

Schedule:

- Monday to Friday

Work Location: In person

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