Associate, Regulatory Reporting

Job Description

Primary functions & responsibilities

Specific responsibilities include, but are not limited to:

• Work closely with colleagues in the Regulatory Reporting team with respect to regulatory submissions to regulatory bodies such as the SEC, CFTC, FRB, and other US and foreign regulators.
• Assist in the development, implementation, and documentation of standardized workflows and controls supporting the Regulatory Reporting filing preparation, review, submission, and retention processes.
• Assist in the continuous assessment and testing of the Firm’s global regulatory reporting risks and controls in accordance with regulatory requirements, best practices, and industry guidance.
• Work collaboratively with cross-functional members of the Firm’s global Finance & Accounting, Investment Operations, Legal, and Technology departments.
• Assist the Regulatory Reporting team in coordinating with members of the global Compliance team to drive efficiency across data provided to regulators in all jurisdictions.
• Keep current on evolving laws and regulations and stay abreast of best practices and industry guidance.
• Assist with ad hoc projects, assignments, and initiatives.

Qualifications

Education/Skills:

• Bachelor’s Degree required.
• Proficiency in Microsoft Office Suite
• Familiarity with Power Apps a plus.

Experience Required:

• 3-5 years of experience with direct experience in investment advisory compliance, regulatory reporting, financial reporting, or similar global compliance roles in an investment management setting.
• Knowledge of regulatory requirements, including experience working with, Form ADV, Form PF, CFTC/NFA and beneficial ownership reporting.
• Experience working with technology development teams and other stakeholders to pursue ongoing process automation and technology enhancements.
• Ability to extract meaningful information from research and keep abreast of industry and regulatory developments. Applying knowledge of investment concepts to ensure accurate regulatory filings.

General Requirements:

• Strong time management and prioritization skills; results orientation; and an ability to work under tight deadlines in a fast-paced environment.
• Exceptional attention to detail, analytical skills, highly organized and process-driven; high accuracy.
• A self-directed individual with a can-do attitude, willing to work in an energetic, collaborative, and fast-paced environment, proactive in nature, and a proven ability to resolve issues with minimal supervision.
• Outstanding written and verbal communication skills, with the ability to effectively present complex concepts in a manner that is appropriately calibrated to audiences with different perspectives and levels of familiarity.
• Strong sense of ownership and accountability; demonstrates good problem-solving skills and judgment in terms of escalating issues vs. solving problems independently.
• A solutions-oriented, self-starter, with an ability to see the big picture.
• Ability to be flexible in terms of hours to coordinate with team members across various time zones.
• Dependable, great attitude, highly motivated and a team player.

Reporting Relationships

There is no set deadline to apply for this job opportunity. Applications will be accepted on an ongoing basis until the search is no longer active.