Regulatory Compliance (Filings)
About The Position
The Regulatory Compliance Team We help to oversee the compliance related activities associated with managing the complex legal and regulatory needs of the firm on a global basis. We are responsible for managing the firm’s compliance policies and procedures, meeting regulatory reporting obligations, reviewing the firm’s marketing materials, managing third-party examinations and administering the Code of Ethics. Completing these responsibilities requires extensive collaboration with colleagues throughout the organization. We are seeking an experienced compliance professional to join our team to provide pro-active compliance support to our institutional asset management business with a primary focus on regulatory filings. The position will afford an individual with opportunities to apply their experience and analytical skills to a wide variety of projects and enhancements. We believe strongly in the development and mentoring of our professionals.
Requirements
- Is able to thrive in a dynamic, fast paced environment and prioritize under tight deadlines
- Has strong analytical and organizational skills and a strong attention to detail
- Is a self-starter that works proactively and thinks both strategically and tactically
- Maintains a superior work ethic
- Has demonstrated ability to prioritize and effectively manage competing priorities and projects
- Prioritizes building and maintaining employee morale
- Has excellent communication skills – oral and written
- Has a strong executive presence and is able to present and evidence work product in a clear and comprehensive manner
- Identifies opportunities to improve existing processes and procedures
- Is knowledgeable of industry best practices in compliance surrounding regulatory filing matters and changes
- 3-5 years of regulatory compliance experience, preferably at an established investment manager
- Experience preparing a variety of regulatory filings for both US and global regulatory bodies
- Has knowledge of various securities laws (e.g., the Investment Advisers Act of 1940) and experience with CFTC regulations
Responsibilities
- Completing global regulatory filings holistically, including:
- Daily short and long position and derivatives-related filings
- Periodic regulatory filings including Form ADV, CTA-PR, 13F, 13H, TICs, and other global filings
- Reviewing internal reporting and collaborating with our trade compliance and portfolio management teams, as necessary, to ensure various thresholds and limits are monitored and escalated, as appropriate
- Utilizing and analyzing the results of third-party disclosure tools to complete daily filings
- Actively identifying and contributing to opportunities to automate, enhance, implement, and maintain our policies and procedures to mitigate risk areas
- Collaborating with the Filings team to identify opportunities for improvements and to assist with the associated implementations, including partnering with our Business Technologies team as appropriate
- Collaborating with departments across the firm to provide guidance and gather insights
- Understanding regulatory changes (both locally and globally) and understanding how those will impact the firm’s regulatory reporting
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
No Education Listed
Number of Employees
251-500 employees
