Compliance Specialist I

2 months ago


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

About the Role

The Compliance Specialist is responsible for submitting notice filings on behalf of funds and other investment products with all applicable jurisdictions in the United States. The Compliance Specialist works closely with a manager who performs daily reviews of all work. The Compliance Specialist also assists with special filing projects such as initial filings, name changes, terminations and fund reorganizations and updating Department policies, procedures, and systems that reflect any change affecting Blue Sky filings.

Responsibilities

Performing renewal and amendment filing activities for an assigned list of mutual funds and clients. Perform review of warning reports to identify action items and analyze historical sales data to project future filing needs. 

Reviewing all incoming State correspondence and compare to items in the pending files. Follow-up with State examiners on open items. Collate final documents, update BSS and keep all legal files in highest quality order for archive and retrieval.

Performing special filings (initial applications, name changes, FYE changes, terminations and reorganizations) only under close supervision and direction of the Manager.

Communicating of fund changes from client and preparation and submission of all files and related documents to state agencies.

Maintaining of all fund files to ensure accurate and timely record keeping.

Timely follow-up with state agencies on open filing issues and resolution per state instructions.

Proactive management of fund files as necessary to accommodate new funds and to reflect changes to existing funds. This includes 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.

Experience not required.

Strong administrative and organizational skills required; ability to work independently and meet critical deadlines.



  • 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 LexisNexis Risk Solutions FL Inc. Company Full time

    About the RoleThe 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...


  • Cambridge, Massachusetts, United States Moderna Full time

    Regulatory Compliance SpecialistModerna is seeking a highly skilled Regulatory Compliance Specialist to join our R&D Quality team. As a key member of our team, you will be responsible for ensuring compliance with Health Authority Regulations and guidelines.Key Responsibilities:Plan and coordinate GCP, GVP, GLP, GCLP regulatory authority inspectionsBuild and...

  • 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 Biogen Full time

    Biogen is seeking a talented student to join its Internal Audit department for a 6-month co op role. As an IT Auditor and Compliance Specialist, you will assist the Company in assessing the reliability of financial information and IT systems. The ideal candidate will have a strong understanding of IT, audit, and business operations principles.The successful...


  • Cambridge, United States Proclinical Staffing Full time

    Quality Systems and Compliance - Contract - Cambridge, MAProclinical is seeking a dedicated and detail-oriented individual for the role of Quality Systems and Compliance Specialist. This is a contract position located in Cambridge, MA.Primary Responsibilities:This role will primarily focus on managing product complaint handling and supporting regulatory...


  • Cambridge, Massachusetts, United States Harvard University Full time

    Job SummaryWe are seeking a highly skilled and dedicated individual to join our team as a Title IX Compliance Specialist. This dynamic role offers the opportunity to support the HMS and Harvard-wide communities, implement impactful initiatives, and ensure adherence to crucial policies related to Title IX, Non-Discrimination, and Anti-Bullying.Key...


  • cambridge, United States Proclinical Staffing Full time

    Clinical Supply Chain, Supply Planner I - Contract - Cambridge, MAProclinical is seeking a Clinical Supply Chain Planner to support programs and protocols, focusing on packaging, labeling, shipment, and drug return logistics. Primary Responsibilities:The successful candidate will interact with internal and external customers and suppliers to achieve project...


  • Cambridge, United States Proclinical Staffing Full time

    Clinical Supply Chain, Supply Planner I - Contract - Cambridge, MAProclinical is seeking a Clinical Supply Chain Planner to support programs and protocols, focusing on packaging, labeling, shipment, and drug return logistics. Primary Responsibilities:The successful candidate will interact with internal and external customers and suppliers to achieve project...


  • Cambridge, United States Proclinical Staffing Full time

    Clinical Supply Chain, Supply Planner I - Contract - Cambridge, MAProclinical is seeking a Clinical Supply Chain Planner to support programs and protocols, focusing on packaging, labeling, shipment, and drug return logistics. Primary Responsibilities:The successful candidate will interact with internal and external customers and suppliers to achieve project...


  • 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 MIT Full time

    Job Title: Research Scientist I, Infectious Disease Monitoring SpecialistMIT is seeking a highly skilled Research Scientist I to join the research group led by Professor Kevin Esvelt and the Nucleic Acid Observatory (NAO) project. The successful candidate will co-lead the wet-lab research team, design and carry out complex metagenomic experiments, and help...


  • Cambridge, United States LexisNexis - Risk Solutions Full time

    Technical Support SpecialistDo you have experience in a Customer Facing role with proven track record of maximizing Customer Satisfaction?Are you a problem solver?About our TeamOur Technology teams use cutting-edge technologies to build products and systems to advance science and health. We provide our customers with powerful digital solutions, helping them...

  • Scientist I

    1 week ago


    Cambridge, Massachusetts, United States Orion Group Full time

    Job Title: Scientist I - Recombinant DNA Technology SpecialistOrion Group is seeking a highly motivated and passionate scientist to join our client's research team in Immunology Discovery based in Cambridge, MA.The successful candidate will focus on making therapeutic molecules using recombinant DNA technology, expression/purification of recombinant...


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

    About LexisNexis Risk Solutions FL Inc. CompanyWe offer a competitive salary range of $64,000 - $90,000 per year, depending on experience.About the RoleThe 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...


  • Cambridge, United States Integrated Resources, Inc ( IRI ) Full time

    Duties: This position will support Quality Systems and Compliance functions in: •Management in product complaint handling including but not limited to: Intake of Product Complaints from the secured access mailbox Perform weekly and monthly product complaint reconciliations with vendors, partners, affiliates and Drug Safety & Pharmacovigilance Assist in...

  • Executive Assistant I

    2 months ago


    Cambridge, United States Proclinical Staffing Full time

    Executive Assistant I - Contract - Cambridge, MA Proclinical is seeking a dedicated Executive Assistant to provide comprehensive administrative support. Primary Responsibilities:This role includes managing calendars, expenses, travel and complex meetings. The successful candidate will also be required to complete vendor setups and coordinate visits for...

  • Executive Assistant I

    2 months ago


    Cambridge, United States Proclinical Staffing Full time

    Executive Assistant I - Contract - Cambridge, MA Proclinical is seeking a dedicated Executive Assistant to provide comprehensive administrative support. Primary Responsibilities:This role includes managing calendars, expenses, travel and complex meetings. The successful candidate will also be required to complete vendor setups and coordinate visits for...


  • Cambridge, United States Federal Emergency Management Agency Full time

    What will I do in this position if hired? In this position, you will serve as an Emergency Management Specialist for Region One in Cambridge, MA. Typical assignments include: Working with a dynamic team to train State Partners and local communities with Hazard Mitigation Assistance grant application development & review, budget analysis, federal...

  • Grants Specialist

    4 weeks ago


    Cambridge, United States Randstad North America, Inc. Full time

    Randstad is seeking a Grants Specialist to join a growing and reputable team/organization. This is a hybrid role that includes competitive benefits and office location, PLUS the chance to work alongside an esteemed team/organization. The ideal candid Grants, Specialist, Social Services, Staffing, Compliance