Regulatory Reporting Specialist
$53 per hourStrategic Staffing Solutions
Job Description Job Title: Regulatory Reporting Specialist Location: Dallas, TX Duration: 6 months Pay Rate: $53/HR (W2 Only) Job/Role Description:
- 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.
- Experience with SEC regulatory reporting, particularly Form N-CEN.
- Solid understanding of financial markets and the SEC regulatory landscape.
- Knowledge of regulatory requirements under the Investment Company Act of 1940 and the Investment Advisers Act of 1940.
- Understanding of financial, operational, reputational, and regulatory risk management principles.
- Practical knowledge of financial products including equities, fixed income, exchange-traded derivatives, and OTC derivatives.
- Experience with regulatory data reconciliation, audit support, or regulatory reporting controls.
- Familiarity with technology solutions, data workflows, or scalable architectures supporting regulatory reporting.
Vacancy posted 4 days ago
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