- 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.
- 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.
-
Compliance Specialist
2 weeks ago
Alphanumeric Systems Cambridge, United StatesAlphanumeric is hiring a Quality Systems Specialist to work in Cambridge, MA with our client of 20 years committed to improving lives through medical and pharmaceutical advancements. · POSITION TITLE: Quality Systems Specialist · ON SITE - 9am-5pm / Monday - Friday · PAY - $52.35 ...
-
Compliance Specialist
3 weeks ago
Alphanumeric Systems Cambridge, United StatesAlphanumeric is hiring a COMPLIANCE SPECIALIST to work in Cambridge, MA with our client of 20 years committed to improving lives through medical and pharmaceutical advancements. · We have an exciting new opportunity for an experienced Compliance Specialist who will work closely w ...
-
Compliance Specialist
3 weeks ago
Randstad North America, Inc. Cambridge, United StatesExciting new opportunity for an experienced Compliance Specialist who will work closely within the Manufacturing Compliance group to achieve department goals. The Compliance Specialist is also responsible for owning and driving manufacturing complian Compliance Specialist, Compli ...
-
Compliance Specialist
2 weeks ago
LanceSoft Cambridge, United StatesPOSITION TITLE: Quality Systems Specialist · ON SITE - 9am-5pm / Monday - Friday · As a Quality Systems Specialist, you will be responsible for providing effective and efficient support to the Quality Management Systems (QMS) team by maintaining compliance with *** policies, QM ...
-
Compliance and Credentialing Specialist
2 weeks ago
Boston Public Health Commission Boston, United StatesJob Description · The mission of the Boston Public Health Commission (BPHC) is to work in partnership with communities to protect and promote the health and well-being of all Boston residents, especially those impacted by racism and systemic inequities. The BPHC envisions a thri ...
-
Manufacturing Compliance Specialist
1 week ago
The Accuro Group Cambridge, United StatesBusiness Title: | Manufacturing Compliance Specialist · Location: Cambridge, MA 02142 · Job Type: Contract (12 Months) · Note: Parking will not be reimbursed by the CLIENT. Parking is roughly $420/mo. · Important: MFG background is mandatory. · Job Description: · THE CLIENT is a ...
-
Engineering Compliance Specialist
1 week ago
Manpower Engineering Cambridge, United States TemporaryOur client, in the Biopharma industry is seeking an Engineering Compliance Specialist to join their team. As a Compliance Specialist, you will be part of the Engineering team supporting Compliance.The ideal candidate will have an Engineering background, experience generating FMEA ...
-
Engineering Compliance Specialist
1 week ago
Manpower Engineering San Francisco, United States TemporaryOur client, in the Biopharma industry is seeking an Engineering Compliance Specialist to join their team. As a Compliance Specialist, you will be part of the Engineering team supporting Compliance.The ideal candidate will have an Engineering background, experience generating FMEA ...
-
cGMP Compliance Specialist
1 week ago
Yoh Cambridge, United StatescGMP Compliance Specialist – 2nd shift needed for a contract opportunity with Yoh Scientific's client located in Cambridge, MA. · This position is for a pharmaceutical company and is suitable for someone with a working knowledge of cGMPs and associated regulatory requirements fo ...
-
Compliance Specialist I
3 weeks ago
LexisNexis Risk Solutions Cambridge, United StatesAbout 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, a ...
-
Compliance Specialist
3 weeks ago
Randstad North America, Inc. Cambridge, United StatesAs a Quality Systems Specialist, you will be responsible for providing effective and efficient support to the Quality Management Systems (QMS) team by maintaining compliance with company policies, QMS standards, and local regulations. You will report Compliance Specialist, Compli ...
-
Compliance specialist
2 weeks ago
Randstad Cambridge, United Statesjob summary: · As a Quality Systems Specialist, you will be responsible for providing effective and efficient support to the Quality Management Systems (QMS) team by maintaining compliance with company policies, QMS standards, and local regulations. You will report to the QMS Man ...
-
Retail Compliance Specialist
2 weeks ago
C3 Industries Boston, United StatesJOB SUMMARY: · The Retail Compliance Specialist is responsible for ensuring that assigned retail stores are operating in compliance with state and local ordinances, rules and regulations. · JOB DUTIES: · Core duties and responsibilities include the following. Other duties may be ...
-
Engineering (EHS) Compliance Specialist
16 hours ago
The Accuro Group Cambridge, United StatesBusiness Title: | Engineering Compliance Specialist · Location: Cambridge, MA 02142 · Job Type: Contract (3 M+) · Note: Parking will not be reimbursed by the CLIENT. Nearby garage parking is available for roughly $420/month. · Job Description: · This role will support the enginee ...
-
Mass General Brigham Somerville, United States RegularHuman Research Compliance and Auditing Specialist Description Come join our team and play a pivotal role in promoting and ensuring an environment where human subject research is conducted according to the highest standards · Our Team · Our Human Research Affairs Compliance and ...
-
Engineering (EHS) Compliance Specialist
2 hours ago
The Accuro Group Cambridge, United StatesBusiness Title: | Engineering Compliance Specialist · Location: Cambridge, MA 02142 · Job Type: Contract (3 M+) · Note: Parking will not be reimbursed by the ;Nearby garage parking is available for roughly $420/month. ...
-
Mass General Brigham Somerville, United StatesCome join our team and play a pivotal role in promoting and ensuring an environment where human subject research is conducted according to the highest standards · Our Team · Our Human Research Affairs Compliance and Education Office was established in June 1999 as the Quality As ...
-
IACUC Regulatory Compliance Specialist
1 week ago
Massachusetts General Hospital(MGH) Charlestown, United StatesGENERAL SUMMARY/ OVERVIEW STATEMENT: · The IACUC Regulatory Compliance Specialist has the overall responsibility for ensuring regulatory compliance within the areas of the animal care and use program that fall under the responsibility of the IACUC office. Leads the investigation ...
-
IACUC Regulatory Compliance Specialist
1 week ago
Partners Healthcare System Charlestown, United StatesGENERAL SUMMARY/ OVERVIEW STATEMENT: · The IACUC Regulatory Compliance Specialist has the overall responsibility for ensuring regulatory compliance within the areas of the animal care and use program that fall under the responsibility of the IACUC office. Leads the investigation, ...
-
Compliance Specialist II
3 weeks ago
Randstad Life Sciences US Cambridge, United StatesJob Description · This exciting new opportunity for an experienced Compliance Specialist who will work closely within the Manufacturing Compliance group to achieve department goals. The Compliance Specialist is also responsible for owning and driving manufacturing compliance imp ...
Compliance Specialist I - Cambridge, United States - RELX Group
Description
About the BusinessLexisNexis 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,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.
#LI-AR1
#Onsite
At LexisNexis Risk Solutions, having diverse employees with different perspectives is key to creating innovative new products for our global customers.
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.
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
Please read our Candidate Privacy Policy.