Compliance Specialist I (Onsite)

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.