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Compliance Specialist I The candidate will be responsible for registering funds and other investment products with all applicable jurisdictions in the firm. Serve in the capacity of client service representative for both state examiners and NRS clients. Performing renewal and amendment registration 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 registration needs. Perform special filings (initial registrations, 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 the Blue Sky Compliance System 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 the Blue Sky Compliance System 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 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 registrations. 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 the Blue Sky compliance system to reflect accurate registration information and participate in department control programs (such as audits) to ensure timeliness and accuracy of all filings and data. Bachelors Degree or equivalent job experience is essential. Blue Sky Compliance experience preferred.
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