Compliance Specialist - NRS - Boston
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.
The Compliance Specialist is expected to model RELX core values by mirroring one's words with action fostering diversity and inclusion, valuing and respecting differences, demonstrating and inspiring high ethical standards and actions, showing greater concern for the well-being of others over self, honoring commitments and promises, and acting decisively.
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.
Serve in the capacity of client service representative for both state examiners and NRS clients.
Assume full ownership for client relationship and fund filing responsibilities including:
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. 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 Blue Sky Solution ("BSS") 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 BSS 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.
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 filings. Ensure that all filing parameters and documentation produced from the system are done 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.
Maintain BSS to reflect accurate permit information and participate in department control programs (such as audits) to ensure timeliness and accuracy of all filings and data.
Minimum Position Requirements:
Education and Experience:
Bachelor's Degree or equivalent job experience.
Superior performance in current job.
Demonstrated skill ability in Customer Service, Professionalism and Organization
Blue Sky Solution experience.
Strong administrative and organizational skills required; ability to work independently and meet critical deadlines.
A team player with outstanding interpersonal skills and strong communication skills.
Strong attention to detail and a significantly high "I care quotient".
Computer literate, with a strong aptitude in the Microsoft Office Suite, specifically with Word, Excel and Outlook. Basic understanding of Q/A function and development of test cases for both positive and negative results.
Makes good decisions based on a mixture of analysis, wisdom, experience and judgment. Quickly grasps the complexities of problems and uses sound analyses to identify solutions, foresee obstacles, and recognize opportunities for the organization. Encourages alternative approaches and new ideas; provides analysis and solutions to complex problems to others, as requested; brings strategic perspective to challenging situations, makes decisions based on organization's goals; identifies patterns and trends in complex data and uses those patterns to outline a path forward.
Results driven by doing everything possible to contribute to strategic goals, persisting in the face of obstacles, maintaining and communicating a clear vision of the desired results, holding self and other accountable for achieving results, leading or championing efforts to increase productivity and goal accomplishment throughout the organization.
Team orientation, customer focus, flexibility and adaptability, integrity and trust, organizational skills, attention to detail, good follow through, understanding and appreciation of regulatory functions and issues. Actively develops strong supportive and collaborative working relationships with others across all career levels, functions, cultural and organizational boundaries to achieve objectives. Gains the trust and respect of others by encouraging and enabling cooperation, resolving/addressing conflicts that effect performance, building and cultivating diverse teams, and actively seeks opportunities to work with others across the organization.
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 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. If a qualified individual with a disability or disabled veteran needs a reasonable accommodation to use or access our online system, that individual should please contact email@example.com . EEO is the Law. EEO is the Law Supplement