AVP Regulatory Reporting
Full-time
JCW Group
An investment management company is seeking a detail-oriented and experienced Senior Associate, Regulatory Reporting to join an investment management firm's compliance and regulatory reporting function. This individual will be responsible for supporting the preparation, review, filing, and ongoing maintenance of regulatory disclosures and registrations with the U.S. Securities and Exchange Commission (SEC) and applicable commodities regulators.
Responsibilities:
- Prepare, review, and coordinate SEC regulatory filings applicable to the firm's investment management activities and investment vehicles.
- Manage periodic and event-driven filings, ensuring accuracy, completeness, and timely submission in accordance with applicable SEC requirements.
- Prepare, review, and submit beneficial ownership disclosures, including Schedules 13D and 13G and related amendments, as applicable.
- Monitor portfolio holdings and ownership thresholds to identify potential filing obligations and applicable reporting deadlines.
- Coordinate with investment teams, portfolio management, Legal, and Compliance to gather and validate required ownership and trading information.
- Support CFTC and NFA registration, regulatory reporting, and ongoing compliance obligations applicable to the firm, its affiliates, and relevant personnel.
Qualifications:
- 4+ years of experience in regulatory reporting, regulatory compliance, or a related function within investment management, hedge funds, asset management, or financial services.
- Demonstrated hands-on experience preparing and submitting SEC regulatory filings.
- Strong working knowledge of Section 13D and 13G beneficial ownership reporting, including filing triggers, amendments, deadlines, and ownership calculations.
- Experience with CFTC/NFA registration and commodities regulatory matters, including relevant registration filings, renewals, exemptions, and ongoing reporting obligations.
- Familiarity with the regulatory requirements applicable to investment advisers, investment funds, and institutional investment managers.
- Strong understanding of regulatory deadlines, filing controls, documentation requirements, and compliance recordkeeping.
Vacancy posted 4 days ago
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