Senior Compliance Analyst

We are seeking a detail-oriented and highly organized individual to join our team as a Securitization and Treasury Compliance Associate. This role involves handling a range of responsibilities related to securitization transactions, compliance, debt facilities, and legal documentation. The ideal candidate will have experience in securitization deliverables, treasury compliance, and legal document management, with a strong ability to manage multiple tasks, ensure accurate filings, and work closely with internal teams and external parties.

Key Responsibilities:

Monthly Securitization Deliverables:

• Prepare, review, and revise drafts of Form 10-D and Form ABS-EE for approximately 20 outstanding securitization transactions each month.
• Receive monthly ALD files and certificates from Securitization Accounting, process them, and confirm the accuracy of monthly certificates to be filed with Form 10-Ds.
• Review Edgar drafts to ensure compliance and accuracy.
• Confirm timely and accurate filings of all documents.

Semi-Annual Securitization Deliverables:

• Track semi-annual certificate dates for all outstanding securitizations.
• Update Treasury Compliance with new deal closures and provide necessary documentation for calendaring.
• Coordinate the timely delivery of certificates to trustees for all outstanding securitizations.

Annual Year-End Compliance:

• Assist the Treasury Compliance team with the preparation of annual compliance packages to be delivered to rating agencies and trustees.
• Support the preparation and filing of Form 10-K with the Securities and Exchange Commission (SEC).

Non-Disclosure Agreements (NDAs):

• Track current Treasury and M&A NDAs.
• Prepare renewal and extension letters for NDAs.
• Follow up with counterparties to secure signatures.
• Maintain executed NDA files and ensure proper documentation.

UCC Financing Statements:

• Track the expiration dates of current UCC-1 and UCC-3 Financing Statements.
• Prepare UCC-3 Financing Statement continuations and coordinate the necessary filings.
• Update new and continuing UCC filings in Team Connect.

Debt Transaction Facilitation:

• Facilitate all debt transactions, including securitizations, private placements, retail/lease warehouses, revolvers, term loans, and private amortizing facilities.
• Track deliverables, coordinate the formation of trusts, and collaborate with outside counsel for seamless execution of transactions.

Redemption Process:

• Notify trustees of redemptions and ensure all required documentation is prepared and delivered.
• Coordinate the withdrawal of Alabama Qualification and prepare dissolution documents for trusts.
• Prepare and file UCC-3 termination statements as part of the redemption process.

Extension/Renewal Notices:

• Assist with drafting and delivering extension and renewal notices for various debt facilities.

Team Connect Administration:

• Open new matters in Team Connect as required.
• Respond to billing inquiries related to team activities and deliverables.

Qualifications:

• Bachelor's degree in Finance, Accounting, Business, or related field (preferred).
• Experience in securitization, treasury compliance, or legal document management is a plus.
• Strong understanding of Form 10-D, ABS-EE, UCC filings, and SEC compliance requirements.
• Ability to manage multiple deadlines and deliverables efficiently.
• Strong attention to detail and accuracy.
• Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint).
• Experience with Team Connect or similar document management systems is a plus.
• Excellent communication and organizational skills.
• Ability to work both independently and collaboratively within a team.

#Hybrid

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If you have a disability and require a reasonable accommodation to complete the job application process, please contact JM Family’s Talent Acquisition department at [email protected] for assistance. If you have an accommodation request for one of our recruiting events, please notify us at least 72 hours prior so that we may provide assistance.