Compliance Specialist I
2 months ago
**About the Role**
The Compliance Specialist is a key member of the LexisNexis Risk Solutions FL Inc. Company team, responsible for ensuring regulatory compliance across various jurisdictions in the United States. This role involves working closely with a manager to review and submit notice filings on behalf of funds and other investment products. The Compliance Specialist will also assist with special filing projects, such as initial filings, name changes, terminations, and fund reorganizations, while updating Department policies, procedures, and systems to reflect any changes affecting Blue Sky filings.
**Responsibilities**
- Performing renewal and amendment filing activities for an assigned list of mutual funds and clients, including reviewing warning reports to identify action items and analyzing historical sales data to project future filing needs.
- Reviewing all incoming State correspondence and comparing it to items in the pending files, following up with State examiners on open items, and collating final documents, updating BSS, and keeping all legal files in highest quality order for archive and retrieval.
- Performing special filings (initial applications, name changes, FYE changes, terminations, and reorganizations) under close supervision and direction of the Manager.
- Communicating fund changes from clients and preparing and submitting all files and related documents to state agencies.
- Maintaining all fund files to ensure accurate and timely record keeping.
- Timely following up with state agencies on open filing issues and resolution per state instructions.
- Proactively managing fund files as necessary to accommodate new funds and to reflect changes to existing funds, including requesting new files and/or labels as appropriate and working with administrative support staff to prepare permanent files.
- Maintaining relationships and providing support to field offices, agencies, and financial institutions participating in the asset verification program.
**Requirements**
- Bachelor's Degree or equivalent job experience.
- Possess Suite skills experience with Excel, Word, and Outlook required.
- Have excellent communication skills, both written and verbal.
- Experience in working for a software organization, a plus.
- Experience with Microsoft Access, a plus.
- Strong administrative and organizational skills required; ability to work independently and meet critical deadlines.
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