Regulatory Reporting

Stamford, Connecticut • $125,000 - $150,000

About the Company:

Our client, a top tier asset manager based in Stamford, CT is looking for a Regulatory Reporting Specialist. This is a newly created team and this hire will play an important role in building out this function.


  • Prepare filing responses for various regulators
  • Perform an independent verification to ensure completeness of the global inventory of filings and work with various functions to ensure an appropriate process, controls, policies and procedures are in place for each filing
  • Work with the technology team to further develop a process for governing the global inventory of filings
  • Perform research/benchmark vendors to determine how others have automated their processes
  • Class action lawsuit analysis for anti-trust cases
  • Compliance inquiries/regulatory data requests
  • Various position and transaction monitoring checks
  • Review upcoming regulations and support various projects


  • 4-9 years of work experience in financial services
  • 3-5 years of regulatory reporting experience including but not limited to SEC, CFTC/NFA, Federal Reserve/Treasury, SFC, MAS and KFB filings
  • Proficiency in Excel and MS Office
  • Understanding of hedge/investment fund structures
  • VBA and Python is a plus

Salary Range:

$150,000 – $175,000




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