Regulatory Reporting Associate

Overview

• Drive regulatory reporting initiatives within a dynamic financial services environment, ensuring compliance with federal, state, and international standards.
• Collaborate with compliance leadership to refine reporting processes and implement strategic solutions for regulatory adherence.
• Utilize advanced technology tools to enhance data accuracy and streamline reporting workflows.
• Monitor regulatory developments and assess their impact on organizational practices and compliance strategies.
• Engage with internal and external stakeholders to ensure cohesive compliance efforts and effective communication.
• Contribute to the development and implementation of compliance tests and functions to optimize regulatory adherence.
• Support the organization in navigating complex regulatory landscapes and maintaining industry-leading compliance standards.

Key Responsibilities & Duties

• Prepare and oversee regulatory filings such as Form PF, BE-185, and 34 Act filings.
• Assist in developing and implementing compliance functions and tests to ensure regulatory adherence.
• Leverage technology to enhance reporting accuracy and efficiency, ensuring data integrity.
• Monitor industry compliance initiatives and analyze their implications on organizational practices.
• Recommend solutions to resolve regulatory challenges and optimize compliance strategies.
• Liaise with stakeholders to ensure alignment in compliance-related activities and effective communication.
• Develop and amend procedures to address regulatory changes effectively and proactively.
• Support compliance leadership in managing reporting processes and ensuring regulatory adherence.

Job Requirements

• Bachelor of Arts (BA) degree in a relevant field is required.
• Minimum of 3 years of experience in regulatory reporting or compliance roles.
• Preferred 5 years of experience in compliance within the investment or financial industry.
• Proficiency in preparing and managing regulatory filings, including Form ADV and Form PF.
• Strong understanding of federal, state, and international regulatory requirements.
• Experience with leveraging technology for compliance reporting and data management.
• Ability to analyze regulatory developments and recommend actionable solutions.
• Excellent communication and stakeholder management skills to ensure effective collaboration.