Compliance Expert for Investment Products
3 weeks ago
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
- Perform renewal and amendment filing activities for an assigned list of mutual funds and clients, analyzing historical sales data to project future filing needs.
- 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.
- Perform special filings under close supervision and direction of the Manager, including initial applications, name changes, FYE changes, terminations, and reorganizations.
- Communicate fund changes from clients, prepare and submit all files and related documents to state agencies, and maintain accurate and timely record keeping.
- 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
- 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.
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.
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