Compliance Specialist ; Entry Level Cambridge, MA

About the Business

Lexis Nexis Risk Solutions, Blue Sky Regulatory Solutions ("BSRS") provides boutique compliance services to the financial services industry, specializing in state regulatory compliance.

The team collaborates closely with the Compliance Manager and is committed to maintaining a strong work‑and‑life balance.

A Compliance Specialist serves as a liaison between the State and BSRS concerning Blue Sky filings, documenting conversations with State examiners and updating Department policies, procedures, and systems to reflect any changes affecting Blue Sky filings. The role ensures that all filing parameters and documentation produced from the system are compliant with department policy and state regulation.

• Entry Level role; experience not required.
• Serve as a client service representative for both state examiners and BSRS clients.
• Maintain BSS to reflect accurate permit information and participate in department control programs (such as audits) to ensure timeliness and accuracy of all filings and data.
• Assume full ownership for client relationships and fund filing responsibilities, including performing renewal and amendment filing activities for an assigned list of mutual funds and clients.
• Review warning reports to identify action items and analyze historical sales data to project future filing needs.
• Perform special filings (initial registrations, name changes, FYE changes, terminations and reorganizations) only under close supervision and direction of the Manager.
• Work closely with the Manager to learn how to set up Blue Sky Solution to handle more complex filing projects.
• Review all incoming State correspondence and compare it to 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.
• Communicate fund changes from clients and prepare and submit all files and related documents to state agencies.
• Maintain all fund files to ensure accurate and timely record keeping.
• Timely follow‑up with state agencies on open filing issues and resolve per state instructions.
• Proactively manage fund files to accommodate new funds and reflect changes to existing funds, including requesting new files or labels as appropriate.
• The incumbent may be asked to perform other duties as assigned.

• Associate’s or Bachelor’s degree preferred.
• Experience working for a software organization is a plus.
• Experience with Microsoft Access is a plus.
• Proficiency in Microsoft Office products.
• Proficient oral and written communication skills.

Learn more about the Lexis Nexis Risk team and how we work. We value collaboration, continuous learning, and a supportive environment.

RELX is 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. We are committed to providing a fair and accessible hiring process. If you have a disability or other need that requires accommodation or adjustment, please let us know by completing our Applicant Request Support Form.

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