Regulatory Reporting Jobs

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.

Responsibilities

• Work with the technology team to further develop a process for governing the global inventory of filings
• Various position and transaction monitoring checks
• Class action lawsuit analysis for anti-trust cases
• 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
• Perform research/benchmark vendors to determine how others have automated their processes
• Prepare filing responses for various regulators
• Compliance inquiries/regulatory data requests
• Review upcoming regulations and support various projects

Requirements

• Proficiency in Excel and MS Office
• 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
• VBA and Python is a plus
• Understanding of hedge/investment fund structures

Salary Range

$150,000 – $175,000