Regulatory Reporting

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

About the Company:

Our client, a top tier Asset Manager based in 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.

Responsibilities:

  • Collaborate with Compliance, Tax, Legal, Finance, Risk, Technology and Operations teams on various filings/requests
  • Prepare filing responses for various regulators (i.e. SEC, NFA)
  • 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 team and Technology 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

Requirements:

  • 4-9 years of work experience in financial services
  • Minimum of 3-5 years of regulatory reporting experience including but not limited to SEC, CFTC/NFA, Federal Reserve/Treasury, SFC, MAS and KFB filings
  • Exceptional communication skills and interpersonal skills are a must: the work is team-based and requires a relationship-oriented approach to effectively manage external vendors and internal clients
  • Highly organized, process driven, and structured
  • Superb attention to detail and the tenacity to produce meticulous work product
  • Adept at addressing questions and identifying the need to escalate issues, as appropriate
  • Capacity to juggle many tasks at once under pressure, prioritize such tasks, remain organized and see each through to completion
  • Superior problem solving and analytical skills
  • Takes ownership and holds accountability
  • Adaptable and willing to accept varied assignments across a broad range of responsibilities
  • Sound professional judgment
  • Trustworthy with sensitive information
  • Proficiency in Excel and MS Office Suite
  • Exceptional reading and writing skills
  • Understanding of hedge/investment fund structures
  • VBA and Python is a plus

Compensation & Benefits:

  • $150,000 – $175,000 Total Comp (Depending on your professional experience)
  • Fully-paid health care benefits
  • Generous parental and family leave policies
  • Mental and physical wellness programs
  • Tuition assistance
  • A 401(k) savings program with an employer match and more

 

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