Regulatory Reporting Specialist

• We are seeking a highly analytical and detail-oriented Regulatory Reporting Specialist to join our Asset Management Operations team. This role offers holistic ownership of regulatory reporting requirements.
• The ideal candidate will assist with regulatory reporting within the Asset Management division, managing complex workflows and collaborating with strategic partners to navigate the evolving regulatory landscape.

Key Responsibilities

• Project Management of key regulatory processes, assisting with integration of regulatory workflows following recent acquisitions and contributing to process improvements of legacy regulatory reporting workflows.
• Business Analysis - working with Operations and Engineering stakeholders to write business requirements for regulatory processes and assisting with UAT and regression testing.
• Automation - leveraging business intelligence tools such as Alteryx and utilizing AI to automate legacy regulatory reporting, filing and monitoring processes and create efficiencies.
• Assist with the preparation and coordination of regulatory filings such as Form NCEN.

Skills & Experience:

Basic Qualifications:

• Education: Bachelor's degree with a minimum of 3-4 years' experience in financial services, OR a Master's degree in Business Administration, Finance, Economics, or a related field with a minimum of one (1) year of experience in financial services.
• Analytical Rigor: Strong analytical skills with a proven ability to understand complex operational workflows paired with meticulous attention to detail.
• Communication & Escalation: Excellent communication skills to clearly articulate regulatory issues, present ideas, and provide timely escalation to senior management.
• Interpersonal & Influencing Skills: Strong interpersonal skills to build relationships with key stakeholders within and outside of Operations, with the ability to challenge the status quo and continuously enhance the control environment.
• Project Management: Self-motivated and proactive team player who takes ownership of projects, possesses strong organizational skills, and can manage competing priorities under tight regulatory deadlines.

Preferred Experience (Regulatory Focus)

• Regulatory Knowledge: Solid understanding of financial markets, the SEC regulatory landscape, and specific reporting regimes (specifically Form N-CEN ).
• Risk Management: Comprehensive understanding of risk management principles, encompassing financial, operational, reputational, and regulatory risk factors.
• Financial Product Expertise: Practical knowledge of financial products, including equities, fixed income, exchange-traded derivatives, and OTC derivativ