Compliance Specialist I

About the Business

LexisNexis Risk Solutions is the essential partner in the assessment of risk. Within our Business Services vertical, we offer a multitude of solutions focused on helping businesses of all sizes drive higher revenue growth, maximize operational efficiencies, and improve customer experience. Our solutions help our customers solve difficult problems in the areas of Anti-Money Laundering/Counter Terrorist Financing, Identity Authentication & Verification, Fraud and Credit Risk mitigation and Customer Data Management. You can learn more about LexisNexis Risk at the link below, risk.lexisnexis.com

About our Team

Independence and collaboration go hand to hand in our team culture. We encourage our team members to take ownership of their work while fostering a supportive environment where collaboration flourishes.

About the Role

The Compliance Specialist will 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.

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

• AS/AA degree preferred.

• 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.

Learn more about the LexisNexis Risk team and how we work here

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