Compliance Specialist
1 month ago
About the Role
The Compliance Specialist at LexisNexis Risk Solutions FL Inc. Company is 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, as well as assisting with special filing projects such as initial filings, name changes, terminations, and fund reorganizations.
Key Responsibilities
- Performing renewal and amendment filing activities for assigned mutual funds and clients, analyzing historical sales data to project future filing needs.
- Reviewing incoming State correspondence, following up with State examiners on open items, and maintaining accurate and timely record keeping.
- Performing special filings under close supervision, communicating fund changes to clients, and preparing and submitting files to state agencies.
- Maintaining relationships with field offices, agencies, and financial institutions participating in the asset verification program.
Requirements
- Bachelor's Degree or equivalent job experience.
- Proficiency in Suite skills, including Excel, Word, and Outlook.
- Excellent communication skills, both written and verbal.
- Experience in working for a software organization or with Microsoft Access is a plus.
- Strong administrative and organizational skills, with the ability to work independently and meet critical deadlines.
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