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Regulatory Compliance Production Specialist

2 months ago

Raleigh, North Carolina, United States Filepoint Full time
Position Overview

Company Overview

FilePoint is in search of a meticulous and collaborative individual to manage electronic submissions for the United States Securities and Exchange Commission (SEC). The Compliance Production Associate plays a vital role in supporting the production team, working closely with clients to prepare essential information through various stages, including transforming financial reports from Microsoft Excel into HTML format while adhering to SEC regulations. While prior knowledge of the investment or SEC sector is not mandatory, candidates with proficient computer skills are highly encouraged to apply. The ideal candidate should be organized and thrive in a customer-focused, team-oriented atmosphere under stringent deadlines.

Key Responsibilities:

As part of the onboarding process, new hires will undergo training that includes:

  • Building a solid understanding of FilePoint's mission and core values.
  • Grasping the significance of our services and the success of our practices within the financial services sector.
  • Gaining a comprehensive overview of each service we offer.
  • Advancing through a structured training matrix to cultivate skills applicable in the production setting.

Ongoing duties will involve:

  • Consulting team documentation daily to identify projects to undertake.
  • Transforming and evaluating projects within designated timeframes.
  • Ensuring precision and punctuality in project outputs.
  • Collaborating with colleagues to address challenges.
  • Engaging with clients as necessary to complete projects.
  • Updating Leads on the status of project deliverables, including timelines, obstacles, and potential solutions.

Desired Attributes:

  • Exceptional computer and communication capabilities.
  • Strong aptitude for acquiring new technical skills and software.
  • Advanced proficiency in Microsoft Office applications.
  • A passion for troubleshooting with a solutions-oriented approach.
  • Ability to identify and implement new processes to enhance and automate workflows.
  • Thrives in a fast-paced, deadline-driven environment with multiple moving parts.
  • Demonstrates high-quality control and positively responds to constructive feedback.
  • Possesses technical writing skills for clear and concise communication.
  • Works effectively in a team setting while also being capable of independently managing extensive projects.
  • Familiarity with desktop publishing, typesetting, graphic communications, programming, print production, training, HTML, or IT support.
  • Basic knowledge of the Adobe Creative Cloud suite.

Qualifications:

  • A Bachelor's degree in Business, Mathematics, Computer Science, Information Science, or a closely related field is required.
  • Capability to perform under tight deadlines in a dynamic environment.

Equal Employment Opportunity Statement

FilePoint, LLC. and its affiliated entities provide equal employment opportunities to all employees and applicants without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by applicable laws. This policy applies to all aspects of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation, and training.