Regulatory Reporting Specialist

Regulatory Reporting Specialist

This role supports regulatory reporting activities within an Asset Management Operations environment, with a specialized focus on the preparation, validation, and submission of SEC Form N-CEN filings.

Manage the end-to-end preparation, coordination, and filing of annual Form N-CEN reports, ensuring accurate census-type data is submitted in the required XML format within applicable regulatory deadlines.

Validate regulatory reporting data related to fund organization, service providers, liquidity classifications, and other required reporting elements.

Independently perform and coordinate complex data reconciliations to ensure accuracy of reportable transactions under the Investment Company Act of 1940 and the Investment Advisers Act of 1940.

Ensure data accuracy and provide oversight when responding to regulatory and audit-related requests.

Collaborate with internal stakeholders, strategic business partners, and third-party service providers to review open requests, establish ownership, and ensure timely resolution.

Proactively evaluate regulatory reporting processes to identify opportunities for greater efficiency, scalability, and stronger risk oversight.

Support the organization in navigating the evolving financial regulatory landscape, including SEC reporting requirements and regulatory modernization initiatives.

Participate in the development and implementation of technology solutions and scalable architectures supporting regulatory reporting processes.

Collaborate with business partners to develop operational strategies for regulatory requirements associated with new financial instruments and products.

Assess evolving regulations impacting existing financial products and support implementation of appropriate operational processes and controls.

Manage multiple priorities and projects while meeting strict regulatory reporting deadlines.

Provide timely escalation of regulatory issues, risks, and reporting concerns to senior management.

Bachelor's degree with a minimum of 3–4 years of experience in financial services, OR a Master's degree in Business Administration, Finance, Economics, or a related field with a minimum of 1 year of experience in financial services.

Strong analytical skills with the ability to understand complex operational workflows and regulatory reporting processes.

Strong attention to detail with demonstrated ability to maintain data accuracy across complex reporting and reconciliation activities.

Excellent written and verbal communication skills with the ability to clearly articulate regulatory issues, present ideas, and escalate concerns to senior management.

Strong interpersonal and influencing skills with the ability to develop relationships with key stakeholders both within and outside of Operations.

Ability to independently manage projects, take ownership of deliverables, and coordinate activities across multiple stakeholders.

Strong organizational and project management skills with the ability to manage competing priorities under tight regulatory deadlines.

Self-motivated, proactive, and able to work effectively in a collaborative team environment.

Ability to evaluate existing processes, challenge the status quo, and identify opportunities to strengthen the control environment.