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Regulatory Middle Office Analyst
2 months ago
STRATEGIC STAFFING SOLUTIONS HAS AN OPENING
This is a Contract Opportunity with our company that MUST be worked on a W2 Only. No C2C eligibility for this position. Visa Sponsorship is Available The details are below.
Regulatory Middle Office Analyst
Onsite
Dallas, TX
Duration: 4+ months
Job ref# 236470
Job Description:
Our Regulatory Middle Office team is seeking a professional who is looking to collaborate with portfolio managers, client relationship managers, compliance specialists and attorneys to mitigate risks associated with the capture and documentation of regulatory position and transaction reporting.
OUR IMPACT
• Operations is a dynamic, multi-faceted division that partners with all parts of the firm to deliver banking, sales and trading and asset management capabilities to clients around the world.
• In addition, Operations provides essential risk management and control to preserve and enhance the firm's assets and its reputation.
• For every trade agreed, every new product launched or market entered, every transaction completed, it is Operations that develops the processes and controls that makes business flow.
• The Regulatory Middle Office (“RMO”) team is responsible for providing business management and expertise in Asset Management's regulatory reporting, filings, and trade surveillance, as well as initializing and driving the full-cycle of various audits.
• RMO serves as the regulatory interface for internal and external business partners including Auditors, Fund Administrators, Custodians, Controllers, Legal, Compliance, Trading Desks, Client Relationship Management, Technology, and other Operational teams.
• RMO is keenly focused on risk management; ensuring the accuracy and precision of regulatory reporting and audit management.
Duties:
• Gain a holistic ownership and understanding of Regulatory Reporting requirements from an Asset Management Operations perspective.
• Perform surveillance to monitor for potential breaches for various limits set forth by regulators and exchanges
• Perform reconciliations to ensure data accuracy for reportable transactions under the Investment Adviser Act of 1940
• Coordinate quarterly and monthly Board Reporting for our 1940 Act Proprietary and Sub-Advised funds
• Coordinate monthly TIC-S filing to the Federal Reserve Bank and Form N-CEN filings to the SEC
• Assist with providing data for regulatory filings such as Form ADV, Form PF, CPO-PQR, and CPO-CTA
• Ensure data accuracy and oversight in handling requests relating to Regulations and Audits (ADV-E)
• Daily correspondence with our strategic business partners to review open requests and assign ownership
• Pro-actively review processes in an effort to gain efficiencies and improved risk oversight
Requirements:
• Bachelor's degree
• Proficient in Microsoft Excel
• Team oriented and contributes to an inclusive environment
• Excellent interpersonal skills and the ability to forge strong relationships with internal and external clients
• Strong verbal and written communication skills with the ability to influence a wide range of stakeholders
• Strong analytical and problem-solving skills
• Demonstrates understanding of risk management: understanding of controls, escalations and engagement of relevant groups
• Ability to combine tactical and strategic thinking
Preferred Qualifications:
• Experience in the Finance Industry and/or Regulatory Industry
• Experience in Regulatory Reporting
• Experience with change management or process improvement a plus
• Interest in Business Intelligence and Analytics tools
