Compliance Specialist I (Onsite Medford, MA)

RELX•Medford, MA

24d•$36,700 - $61,300•Onsite

About The Position

LexisNexis Risk Solutions is seeking a Compliance Specialist I for their Business Services vertical. This role is essential for assessing risk and providing solutions focused on helping businesses drive revenue growth, improve operational efficiencies, and enhance customer experience. The solutions offered by LexisNexis Risk Solutions address areas such as Anti-Money Laundering/Counter Terrorist Financing, Identity Authentication & Verification, Fraud and Credit Risk mitigation, and Customer Data Management. The Compliance Specialist will be responsible for submitting notice filings for funds and other investment products to all applicable jurisdictions in the United States. This role will initially be onsite in Medford, MA, with the possibility of a hybrid arrangement after a successful performance year. The incumbent is expected to embody RELX core values, including fostering diversity and inclusion, respecting differences, upholding high ethical standards, showing concern for others, honoring commitments, and acting decisively. This job description outlines the general nature and level of work expected, but the incumbent may be asked to perform other duties as assigned.

Requirements

Bachelor’s Degree or equivalent job experience.
Superior performance in current job.
Demonstrated skill ability in Customer Service, Professionalism and Organization.
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.

Nice To Haves

Blue Sky Solution experience

Responsibilities

Serve as a client service representative for state examiners and BSRS clients.
Assume full ownership for fund filing responsibilities, including performing renewal and amendment filing activities for assigned mutual funds and clients.
Review warning reports to identify action items and analyze historical sales data to project future filing needs.
Review all incoming State correspondence, compare it to items in pending files, and follow up with State examiners on open items.
Collate final documents, update BSS, and maintain legal files in high quality for archive and retrieval.
Communicate fund changes from clients and prepare/submit all files and related documents to state agencies.
Maintain all fund files to ensure accurate and timely record keeping.
Follow up with state agencies on open filing issues and resolve them per state instructions.
Proactively manage fund files to accommodate new funds and reflect changes to existing funds, including requesting new files/labels and working with administrative support staff to prepare permanent files.
Act as a liaison between the State and BSRS regarding Blue Sky filings by documenting conversations with State examiners and updating Department policies, procedures, and systems.
Ensure all filing parameters and documentation produced from the system comply with department policy and state regulations.
Present significant changes to the entire staff within the Blue Sky Group to ensure understanding and uniformity.
Maintain BSS to reflect accurate permit information.
Participate in department control programs (e.g., audits) to ensure timeliness and accuracy of all filings and data.
Ensure filings are submitted to states on time, filing packages are complete, electronic filing submissions are complete, and full responses from the state are received, constituting a record with the state.