Compliance Advisory Executive Director at SMBC Nikko Securities managing Advisory Compliance for Securitized Products Group with a focus on regulatory and compliance matters.
About the role
- Compliance Filings Specialist handling federal and state compliance filings for PrePass. Responsible for accurate submissions and maintaining compliance records.
Responsibilities
- Execute all compliance filings supported by PrePass, including but not limited to:
- DOT number applications and updates
- Motor Carrier authority applications and updates
- FMCSA application changes and corrections
- BOC-3 filings
- Unified Carrier Registration (UCR) filings and renewals
- Texas Department of Motor Vehicles (TxDMV) motor carrier registration (TX DOT)
- New York Highway Use Tax (NY HUT)
- Kentucky Weight Distance Tax (KYU)
- New Mexico Weight Distance Tax (NM WDT)
- Oregon Weight Distance Tax (OR WDT)
- Heavy Vehicle Use Tax (HVUT / Form 2290)
- Biennial updates
- California Motor Carrier Permit (CA MCP)
- International Fuel Tax Agreement (IFTA) reporting and renewals
- International Registration Plan (IRP) registrations and renewals
- Ensure filings are submitted accurately, completely, and in compliance with applicable federal and state regulations
- Manage both initial filings and recurring renewals across multiple jurisdictions
- Collect, review, and validate carrier information required for filings, including business details, EINs, VINs, and supporting documentation
- Enter and maintain accurate filing data within internal systems and document repositories
- Upload confirmations, receipts, and compliance documents with appropriate tracking and expiration details
- Communicate clearly with customers regarding filing requirements, missing information, and completion status
- Respond to filing-related questions and provide guidance on next steps or corrections when needed
- Coordinate with internal teams to align filings with onboarding, renewals, and service timelines
- Track filing progress and follow through on submissions until acceptance is confirmed
- Identify and resolve rejected filings or required corrections in a timely manner
- Maintain awareness of filing deadlines to prevent lapses in carrier compliance
Requirements
- Minimum 2 years of experience managing multiple federal and state motor carrier compliance filings from start to finish, including both initial filings and renewals
- Direct experience handling Form 2290, UCR, BOC-3, and biennial updates
- Strong attention to detail and ability to manage multiple filings simultaneously
- Working knowledge of transportation compliance requirements and filing workflows
- Proficiency with digital systems, document management tools, and data entry
- Clear written and verbal communication skills
- Self-motivated with a proactive approach to continuous improvement
- Comfortable managing multiple concurrent filings with overlapping deadlines across jurisdictions
Benefits
- Robust benefit package that includes medical, dental, and vision that start on date of hire.
- Paid Time Off, to include vacation, sick, holidays, and floating holidays.
- Paid parental leave.
- 401(k) plan with employer match.
- Company-funded “lifestyle account” upon date of hire for you to apply toward your physical and mental well-being (i.e., ski passes, retreats, gym memberships).
- Tuition Reimbursement Program.
- Voluntary benefits, to include, but not limited to Legal and Pet Discounts.
- Employee Assistance Program (available at no cost to you).
- Company-sponsored and funded “Culture Team” that focuses on the Physical, Mental, and Professional well-being of employees.
- Community Give-Back initiatives.
- Culture that focuses on employee development initiatives.
- Company-wide bonus and commission plans.
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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