Description

Job Summary

Under minimal supervision, uses intermediate knowledge and skills obtained through experience and/or specialized training to perform a variety of advanced regulatory review, preparation, and filing tasks associated with a municipal issuer’s obligation to provide investors with up-to-date operational and financial information, per SEC Rule 15c2-12 (the "Rule"). Serves as a subject matter expert on the Rule to others. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity with appreciable latitude for un-reviewed actions or decisions.. Resolves or recommends solutions to complex problems and needs. Regular contact with internal customers and external municipal issuers is required.

Essential Duties and Responsibilities

• Review, compile, and perform disclosure filings for small/local government clients work directly with clients to gather the appropriate data and perform any applicable needed remediations.

• Research and report (at summary and detailed levels) on clients’ prior filing performance pursuant to the Rule regarding both content and accuracy.

• Communicate with municipal clients and internal colleagues regarding compliance with Rule 15c2-12 disclosures. Compile and review various table-based financial information, operating data, etc.

• While not a formal fiduciary, this role is responsible for the accurate and on-time delivery of designated client work as a subject matter expert on the Rule and its associated compliance.

• Participate in the improvement of processes and tools (including process and tool design and implementation) that support the above responsibilities.

Qualifications

Knowledge, Skills, and Abilities

Knowledge of

• Government regulations, financial regulations, regulatory compliance processes and their associated terminology, concepts, and guidance.

• Legal documents and agreements.

• Fundamental business practices and concepts that impact the success and profitability of the firm.

• Basic investment concepts, practices and procedures used in the securities industry.

• Principles of banking and finance and securities industry operations.

• SEC Rule 15c2-12 Compliance.

Skill in

• Effective written and oral communication of complex information.

• Detail orientation pertaining to preparing and/or analyzing complex financial reports.

• Advanced proficiency in document review/proofreading and report preparation / report writing skills required.

• Advanced proficiency in MS Excel, MS Word, MS Outlook, and MS PowerPoint required,

• Gathering, organizing, summarizing and indexing supporting documentation.

• Process design and process improvement a plus.

• Database technologies (SQL Server, MySQL, Oracle) and analytic toolsets a plus.

Ability to

• Use analytical and critical thinking skills in reading, interpreting, analyzing, and applying information from financial documentation and references.

• Manage multiple tasks with changing priorities to meet deadlines in a fast-paced environment with constant interruptions.

• Work directly with internal and external clients at all levels as a subject matter expert.

• Organize, manage, and track multiple detailed tasks and assignments with critical deadlines in a fast-paced work environment.

• Communicate effectively, both orally and in writing.

• Work independently as well as collaboratively within a team environment.

• Handle stressful situations and provide a high level of customer service in a calm and professional manner.

• Establish and maintain effective working relationships with others at all organizational levels.

Educational/Previous Experience Requirements

Education/Previous Experience

• Bachelor's degree and one (1) to five (5) years of experience in a law firm or financial services environment. Paralegal and/or trustee experience is a plus.

• OR

• An equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

• Relevant securities registrations are a plus

• Paralegal certification is a plus

• Formal technical / analytic training or certifications are a plus

Job: Administrative & Support Services

Primary Location: US-TN-Memphis-Memphis

Organization Public Finance

Schedule Full-time

Job Shift Day Job

Travel Yes, 5 % of the Time

Req ID: 2403778