Responsibilities:

• This position reviews and approves the daily work of the compliance vendor, performs quality control testing, process registration and vendor payments and provide support to the department.
• Perform review of reports to identify action items needed and analyze historical sales data to project future filing needs.
• Act as liaison with various groups and vendors to complete ad hoc projects.
• Maintain accurate and timely record keeping of department files.
• Timely follow-up with open issues per state instructions.
• Review and approve/decline requests for registration.  Work to keep funds in compliance with state laws.
• Perform quality control testing on vendor’s work; maintain issue log.
• Forecast and update registration expense projections for the funds.
• Process and balance payments for registration and vendor expense.
• Provide vendor with SEC filing information relative to fund changes.
• Provide state securities regulators with registration information and documentation.
• Research daily sales to determine if they can be exempted from registration.

Qualifications:

• Bachelor’s degree in business related discipline or 3 years of business experience in a regulatory environment or minimum of 2 years of experience with accounting, banking or finance
• Knowledge of state registration regulations preferred
• Proficiency using Microsoft Excel and familiarity with database applications required