Compliance Specialist II

About the Business

About the Role

The Compliance Specialist II 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 II works closely with a Manager who performs daily reviews of all work.  The Compliance Specialist II will be asked to assist with special filing projects such as initial filings, name changes, terminations and fund reorganizations.

The Compliance Specialist II 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.

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.

This role requires onsite work in Medford, MA (5 days per week)

Responsibilities

• Serve in the capacity of client service representative for both state examiners and BSRS 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 applications, 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 BSRS 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.

• Participate in testing, development, procedures and documentation relating to the electronic filing initiative with Blue Express Manager.

Requirements 

• Bachelor’s Degree or equivalent job experience.

• Strong working knowledge of Blue Sky Solution and related risk management control procedures preferred

• 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 affect performance, building and cultivating diverse teams, and actively seeks opportunities to work with others across the organization.

We know your well-being and happiness are key to a long and successful career. We are delighted to offer country specific benefits. Click here to access benefits specific to your location.

We are committed to providing a fair and accessible hiring process. 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.

Criminals may pose as recruiters asking for money or personal information. We never request money or banking details from job applicants. Learn more about spotting and avoiding scams here.

Please read our Candidate Privacy Policy.

We are 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.

USA Job Seekers:

EEO Know Your Rights.