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Compliance Specialist
RELX Group
Boston, MA, United States
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Compliance Specialist II - NRS
Reporting to a Manager in Outsourcing Department, the Compliance Specialist II is responsible for registering funds and other investment products with all applicable jurisdictions in the United States. The Specialist also works on some of the more complex special filing projects associated with initial filings, name changes, terminations and fund reorganizations with minimal supervision.
Essential Job Functions:This job description indicates the general level and nature of work expected of the incumbent. It is not a comprehensive list of specific duties or activities associated with the position. The incumbent may be asked to perform other duties as assigned.
1. Serve in the capacity of client service representative for state examiners, conducting oneself in a professional and courteous manner.
2. Assume full ownership for client relationship and fund filing responsibilities including:
◦ Performing renewal and amendment registration 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 registration needs. Perform special filings (initial registrations, name changes, FYE changes, terminations and reorganizations) only under close supervision and direction of the Manager.
◦ Working closely with the Manager to learn how to set up the Blue Sky Compliance System to perform more complex filing projects, such as initial applications, name changes and fund reorganizations.
◦ 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 the Blue Sky Compliance System and keep all legal files in highest quality order for archive and retrieval.
◦ Communication of fund changes from client and preparation and submission of all files and related documents to state agencies.
◦ Maintenance 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.
3. Act as a liaison between the State and NRS in matters regarding Blue Sky filings by documenting conversations with State examiners and updating Department policies, procedures, and systems that reflect any change affecting Blue Sky registrations. Ensure that all filing parameters and documentation produced from the system are completed in compliance within department policy and states regulation. Present significant changes to the entire staff within the Blue Sky Group to ensure understanding and uniformity.
4. Maintain the Blue Sky compliance system to reflect accurate registration information and participate in department control programs (such as audits) to ensure timeliness and accuracy of all filings and data.
5. Participate in testing, development procedures and documentation relating to the electronic filing initiative with SRD.
Minimum Position Requirements:
Education and Experience
• Bachelors Degree or equivalent job experience.
• Superior performance in a current job.
• Blue Sky Compliance experience.
• A team player with outstanding interpersonal skills and strong communication skills.
Skills/Knowledge/Competencies
• Computer literate, with a general aptitude towards technical matters and information systems, particularly in data management.
• Team orientation, customer focus, flexibility and adaptability, integrity and trust, organizational skills, attention to detail, good follow through, understanding and appreciation f regulatory functions and issues.
About Reed Business Information:
Reed Business Information (RBI) provides information, analytics and data to business professionals worldwide. Our strong global products and services hold market-leading positions across a wide range of industry sectors including banking, petrochemicals and aviation where we help customers make key strategic decisions every day. RBI is part of RELX Group plc, a world-leading provider of information solutions for professional customers across industries.
RBI General Benefits Package
• 401k match of 5%
• 18 Days Holiday
• Paid Charity Days – 2 days per year
• Benefits start the upon hire date
• Excellent OTE & Competitive Salaries
RBI is an equal opportunity employer: qualified applicants are considered for and treated during employment without regard to race, color, creed, religion, sex, national origin, citizenship status, disability status, protected veteran status, age, marital status, sexual orientation, gender identity, genetic information, or any other characteristic protected by law. EEO is the Law. EEO is the Law Supplement