Support PDF,DOC,DOCX,TXT,XLS,WPD,HTM,HTML fils up to 5MB
Organization TypeLaw Firm
Years of Experience
Date Last Verified
Compliance Manager Duties: Manage the daily operations of the department ensuring department adheres to established protocols and best practices for compliance and disclosure electronic reporting; maintain high level of client service for internal and external clients. Manage daily activities of the EDGAR Group. Plan staffing schedules to ensure adequate client coverage. Create and maintain harmonious relationships with SEC staff in OIT, IM, Corp Fin and OFM Provide assistance to clients and legal staff on EDGAR filings and SEC policies. Organize and manage overtime staffing as needed Available at all times to assist clients and legal staff in domestic and overseas offices, as well as EDGAR staff when necessary. Maintain the EDGAR database and Wiki ensuring information is accurate, relevant and current. Manage special projects and prioritize multiple tasks. Provide training in use of conversion tools and instruction on required tagging for all form-types. Ensure department time entries are completed daily. Assist manager with staff assessments and identify training needs. Keep manager informed of all matters related to staffing and operations. Consult manager on SEC-related issues In-depth knowledge of various conversion tools and methods.
Qualification and Experience
Qualifications: (i) a four-year college degree; (ii) 5+ years’ experience in a law firm environment; (iii) extensive knowledge of securities rules, regulations and SEC polices as they relate to EDGAR filings; (iv) proficiency with multiple major conversion applications (v) established track record of successfully leading diverse groups of professionals in client service. Extensive knowledge of HTML/ASCII coding languages and techniques XBRL – general understanding of structure and purpose; know how to validate XBRL files using the SEC’s Previewer; know how to tag and include XBRL files in required formtypes Knowledge of SEC and FINRA technology. Ability to understand and apply existing rules and regulations of the SEC and FINRA, and keep abreast of rule changes. Ability to effectively communicate with all levels of contacts including: regulatory staff, clients, internal legal and support staff. Ability to work in a fast-paced, deadline driven and client facing environment.
Company infoJackie Nunez