Compliance Specialist

Do you have experience in U.S. mutual funds?

Would you enjoy delivering effective services that make a difference to our success?

About the Team

The Blue Skies division partners with hedge funds, mutual funds, investment managers, and other financial institutions to ensure they meet regulatory and compliance requirements. Blue Sky Regulatory Solutions provides services to Open-End Investment Companies, Closed-End Investment Companies, Unit Investment Trusts, and Private Placements that must comply with Blue Sky laws across 54 U.S. jurisdictions.

About the Role

As a Compliance Specialist, the individual is responsible for performing a range of operational tasks, including daily fund mapping, sales adjustments, repeat settings, and primary fund mapping based on information received from management companies or their designated representatives. The role also includes completing activities that support the monthly client billing process. Additionally, the individual is responsible for updating invoice logs as directed and managing funding requests.

Responsibilities

· Deliver clear and compelling product demonstrations that effectively showcase the value of Blue Skies’ regulatory and compliance solutions.

· Complete all assigned daily tasks while consistently maintaining required accuracy levels.

· Adhere to the in‑office work requirement of three days per week.

· Follow company leave policies and provide advance notice for any planned time off.

· Respond promptly and professionally to emails from clients or their representatives.

· Meet all service-level agreements (SLAs) as defined in client requirements.

Requirements

· Bachelor’s degree required; candidates with a commerce background are preferred.

· One to two years of relevant experience preferred.

· Prior experience with U.S. mutual funds and Transfer Agency operations is highly desirable.

· Strong written and verbal communication skills, including the ability to deliver effective presentations.

· Excellent organizational, prioritization, and time‑management skills.

· Experience working with clients in the financial services, securities, or investment management sectors is strongly preferred, especially within regulatory and compliance environments.

About the Business

Learn more about the LexisNexis Risk team and how we work here

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