Relx
Compliance Specialist I (Onsite Medford, MA)
Medford, MA
Sponsorship not specified$37k-$61kDetected 10 hours ago
ExcelCustomer SupportCommunicationOrganizational SkillsMicrosoft Office
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.
- 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.
Responsibilities
- o 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.
- o 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.
- o Communication of fund changes from client and preparation and submission of all files and related documents to state agencies.
- o 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.
- o 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.
- Perform review of warning reports to identify action items and analyze historical sales data to project future filing needs.
- Collate final documents, update BSS and keep all legal files in highest quality order for archive and retrieval.
- This includes requesting new files and/or labels as appropriate and working with administrative support staff to prepare permanent files.
- LexisNexis Risk Solutions is the essential partner in the assessment of risk.
Requirements
- o Bachelor's Degree or equivalent job experience.
- o Strong administrative and organizational skills required
- ability to work independently and meet critical deadlines.
Nice to have
- o Blue Sky Solution experience, preferred.
Compensation
- $36,700 - $61,300.
Benefits
- We are delighted to offer country specific benefits.
- Click here to access benefits specific to your location.
Company info
- 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.
Equal opportunity
- 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 Know Your Rights.
- If you have a disability or other need that requires accommodation or adjustment, please let us know by completing our Applicant Request Support Form or please contact 1-855-833-5120.
Visa & Work Authorization
- 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 orientat
This listing is sourced directly from Relx's careers page and normalized into a canonical job model.