Job Title: Regulatory Reporting Specialist – Hiring FAST!
Industry: Finance
Location: Dallas, TX
Pay Rate: $53/HR on W2 Only – NO C2C
Setting: Onsite Required (Hybrid/Remote is NOT an Option)
Duration: 12+ months
Job ID: 247436
Required 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.
Desired Qualifications:
- 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 derivatives.
Responsibilities:
- Form N-CEN Ownership: Lead the end-to-end preparation, coordination, and filing of annual Form N-CEN reports, ensuring precise census-type data (including fund organization, service providers, and liquidity classification details) is submitted in the required XML format within the 75-day regulatory deadline.
- Reconciliations & Data Accuracy: Independently perform and coordinate complex data reconciliations to ensure absolute accuracy for reportable transactions under the Investment Adviser Act of 1940 and the Investment Company Act of 1940.
- Audit & Regulatory Oversight: Ensure data accuracy and provide robust oversight when handling requests relating to Regulations and Audits
- Stakeholder & Partner Collaboration: Correspond with strategic business partners and third-party service providers to review open requests, establish clear ownership, and proactively evaluate processes to drive efficiencies and strengthen risk oversight.
- Thought Leadership & Technology Integration: Provide expert thought leadership in navigating the evolving financial regulatory landscape (such as SEC modernization amendments) and actively participate in developing technological solutions and scalable architectures for regulatory reporting.
- New Product Strategy: Collaborate with business partners to develop and implement operational strategies for navigating regulations related to both new instruments planned for future trading and evolving regulations impacting existing products.