State Registration Specialist
- 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.
- 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