Compliance Expert for Investment Products

3 days ago


Cambridge, Massachusetts, United States LexisNexis Risk Solutions FL Inc. Company Full time

About LexisNexis Risk Solutions FL Inc. Company

We offer a competitive salary range of $64,000 - $90,000 per year, depending on experience.

About the Role

The Compliance Specialist works closely with a manager to perform daily reviews of all work and submit notice filings on behalf of funds and other investment products with all applicable jurisdictions in the United States. This role requires excellent communication skills, both written and verbal, to maintain relationships and provide support to field offices, agencies, and financial institutions participating in the asset verification program.

Responsibilities

  1. Perform renewal and amendment filing activities for an assigned list of mutual funds and clients, analyzing historical sales data to project future filing needs.
  2. Review all incoming State correspondence and compare to items in the pending files, following up with State examiners on open items and collating final documents for archive and retrieval.
  3. Perform special filings under close supervision and direction of the Manager, including initial applications, name changes, FYE changes, terminations, and reorganizations.
  4. Communicate fund changes from clients, prepare and submit all files and related documents to state agencies, and maintain accurate and timely record keeping.
  5. Timely follow-up with state agencies on open filing issues and resolution per state instructions, and proactively manage fund files to accommodate new funds and reflect changes to existing funds.

Requirements

  1. Bachelor's Degree or equivalent job experience.
  2. Possess Suite skills experience with Excel, Word, and Outlook required.
  3. Have excellent communication skills, both written and verbal.
  4. Experience in working for a software organization, a plus.
  5. Experience with Microsoft Access, a plus.
  6. Strong administrative and organizational skills required; ability to work independently and meet critical deadlines.

Benefits

LexisNexis Risk Solutions FL Inc. Company offers a comprehensive benefits package, including health insurance, retirement savings, and paid time off.

Others

We are an equal opportunities employer and welcome applications from diverse candidates. If you are a motivated and detail-oriented individual with a passion for compliance, we encourage you to apply for this exciting opportunity.



  • Cambridge, Massachusetts, United States LexisNexis Risk Solutions FL Inc. Company Full time

    **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...


  • Cambridge, Massachusetts, United States Blackstone Restaurant Full time

    Job Title:Blackstone Life Sciences Investment Operations & FP&A, AnalystJob Description:The Blackstone Life Sciences (BXLS) Finance team is responsible for the investment operations, fund administration, and general finance and reporting needs of the Life Sciences group based in Cambridge, MA. The BXLS Finance team assists in the execution and management of...


  • Cambridge, Massachusetts, United States BioSpace, Inc. Full time

    Clinical Compliance Leadership PositionThe Senior Manager, Clinical Compliance will provide critical support and guidance to clinical trial teams on Clinical Compliance requirements and activities.This role requires a collaborative partnership with cross-functional team members across the organization to ensure all trials are conducted in compliance with...


  • Cambridge, Massachusetts, United States Blackstone Restaurant Full time

    Job Title: Blackstone Life Sciences Investment Operations & FP&A, AnalystThe Blackstone Life Sciences (BXLS) Finance team is responsible for the investment operations, fund administration, and general finance and reporting needs of the Life Sciences group based in Cambridge, MA. The BXLS Finance team assists in the execution and management of investment...

  • Product Manager

    4 weeks ago


    Cambridge, Massachusetts, United States InterSystems Full time

    About the RoleWe are seeking a seasoned Product Manager with a deep understanding of analytics challenges and opportunities to drive the development of our data solutions. As a key member of our team, you will play a crucial role in shaping our product strategy, identifying market needs, and executing the delivery of technology and applications to...

  • Compliance Specialist

    1 month ago


    Cambridge, Massachusetts, United States LexisNexis Risk Solutions FL Inc. Company Full time

    About the RoleThe Compliance Specialist is a key member of our team at LexisNexis Risk Solutions FL Inc. Company, responsible for ensuring that our clients' compliance needs are met. This role involves submitting notice filings on behalf of funds and other investment products with all applicable jurisdictions in the United States.ResponsibilitiesPerforming...


  • Cambridge, Massachusetts, United States Alnylam Full time

    About the RoleThe Director for U.S. Advertising and Promotion will provide strategic regulatory guidance to internal stakeholders on communications related to Alnylam's marketed products, investigational treatments, and disease areas. This role will enable achievement of business objectives while ensuring compliance with U.S. laws and regulations and Alnylam...


  • Cambridge, Massachusetts, United States The Bank of America Corporation Full time

    Merrill Wealth Management OverviewMerrill Wealth Management is a leading provider of comprehensive wealth management and investment products and services for individuals, companies, and institutions.Our ExpertiseWe offer a wide range of investment products and services to help our clients achieve their financial goals.Our team of experienced professionals...


  • Cambridge, Massachusetts, United States Stratacuity: Proven Scientific Placement Full time

    Job OverviewWe are seeking a highly skilled Quality Systems and Compliance Contractor to join our team at Stratacuity: Proven Scientific Placement. This role involves supporting Quality Systems and Compliance by managing product complaint handling, acting as document control backup, and assisting with regulatory inspection preparation.Key...


  • Cambridge, Massachusetts, United States Takeda Pharmaceutical Full time

    Job DescriptionAt Takeda, we are a forward-looking, world-class R&D organization that unlocks innovation and delivers transformative therapies to patients. By focusing R&D efforts on three therapeutic areas and other targeted investments, we push the boundaries of what is possible to bring life-changing therapies to patients worldwide.Key...


  • Cambridge, Massachusetts, United States Pickle Robot Company Full time

    About this role:Pickle Robot is seeking a skilled Software Development Expert to enhance the speed and performance of our truck unloading robot. This role requires advanced expertise in robotics and machine learning to further elevate the intelligence of our systems.What You'll Accomplish:Research and implement cutting-edge machine learning techniques to...


  • Cambridge, Massachusetts, United States PSG Global Solutions Careers Full time

    Job Description:We're seeking a skilled Software Development Expert to join our team at PSG Global Solutions Careers. As a key member of our software development team, you will be responsible for designing and building RESTful web services using Java with Play Framework and Hibernate.Key Responsibilities: Develop services and applications using Java with...


  • Cambridge, Massachusetts, United States Flagship Ventures Full time

    Job Title: Director of Security Governance and ComplianceFlagship Pioneering is a bioplatform innovation company that invents and builds platform companies that change the world. We bring together the greatest scientific minds with entrepreneurial company builders and assemble the capital to allow them to take courageous leaps. Those big leaps in human...


  • Cambridge, Massachusetts, United States Flagship Ventures Full time

    Job Title: Director of Security Governance and ComplianceFlagship Pioneering is a bioplatform innovation company that invents and builds platform companies that change the world. We bring together the greatest scientific minds with entrepreneurial company builders and assemble the capital to allow them to take courageous leaps. Those big leaps in human...


  • Cambridge, Massachusetts, United States Draper Labs Full time

    Job Summary:Draper Labs is seeking a highly skilled Product Development Engineer to join our team. As a Product Development Engineer, you will be responsible for designing and developing new products, working closely with cross-functional teams to ensure successful product launches.Key Responsibilities:Design and develop new products, including electronics,...


  • Cambridge, Massachusetts, United States Takeda Full time

    Job SummaryWe are seeking a highly experienced Senior Director and Regulatory Platform Lead to join our team at Takeda. As a key member of our regulatory team, you will be responsible for leading the development and implementation of innovative regulatory strategies for device and combination products.Key ResponsibilitiesDevelop and implement global...


  • Cambridge, Massachusetts, United States Draper Labs Full time

    Job Summary: Draper is seeking a highly skilled Radiation Effects Expert to join our team. As a Radiation Effects Expert, you will be responsible for assessing and mitigating the impact of radiation on the performance of a system. This will involve analyzing environments, transporting those environments through system enclosures, modeling the interaction of...

  • Toxicology Expert

    2 months ago


    Cambridge, Massachusetts, United States QurAlis Full time

    About QurAlisWe are a clinical-stage biotechnology company advancing a pipeline with therapeutic candidates that target specific components of neurodegenerative diseases. Our team of neurodegenerative biologists from Harvard Medical School and Harvard University is dedicated to discovering and developing effective precision medicines.Job SummaryWe are...


  • Cambridge, Massachusetts, United States Novartis Full time

    Job Description SummaryAs a Cell Therapy Process Development Drug Product Project Lead, you will be accountable for Drug Product-related project activities. In this role, you will lead, manage, coach, and support the project sub-team by fostering a culture of innovation, empowerment, trust, learning, diversity, and inclusion.Key Responsibilities:Lead the...


  • Cambridge, Massachusetts, United States Massachusetts Institute of Technology Full time

    Job Title:Associate Director, Financial, Tax, and Regulatory ReportingJob Summary:We are seeking an experienced Associate Director to join our team at the Massachusetts Institute of Technology. The successful candidate will be responsible for financial reporting of investments in MIT's annual treasurer's report and ERISA plans, as well as issuing financial...