Regulatory Compliance Reporting Lead

2 weeks ago


Stamford, Connecticut, United States Excel Partners, Inc. Full time

Excel Partners, Inc. is seeking a Regulatory Compliance Reporting Lead to enhance the firm's governance across all global regulatory submissions and obligations.

The Regulatory Compliance team is responsible for the preparation of reports, coordination of extensive cross-departmental submissions, oversight of the technology that supports regulatory documentation, and the identification of opportunities for automation and process enhancement.

Key Responsibilities

  • Oversee and manage cross-functional regulatory compliance projects and submissions, ensuring thorough execution as necessary.
  • Analyze forthcoming regulations and work collaboratively across departments to develop and implement processes and solutions to address evolving compliance requirements.
  • Assist in the development and monitoring of operational KPIs and reporting dashboards for the team.
  • Review and prepare responses for various regulatory authorities.
  • Collaborate with teams in Compliance, Tax, Legal, Finance, Technology, and Operations on submissions, inquiries, and projects.
  • Promote continuous improvement within the team's processes through automation and by identifying opportunities for enhanced efficiency and control.

Qualifications

  • Over 10 years of experience in regulatory compliance reporting within a financial institution.
  • Familiarity with regulations including but not limited to Form PF, Form ADV, Section 13 filings, and various transaction reporting frameworks (MIFID II, MAS OTC Derivatives, CFTC).
  • Proven ability to navigate complex organizations and establish effective relationships through strong communication and interpersonal skills.
  • Experience in managing intricate cross-functional projects.
  • A curious and analytical mindset, capable of conducting detailed analyses with minimal guidance, gathering and synthesizing information to formulate fact-based conclusions and recommendations.
  • Dedication to maintaining the highest ethical standards.

The regulatory bodies involved include, but are not limited to, the Securities and Exchange Commission (SEC), Commodities Futures Trading Commission (CFTC), National Futures Association (NFA), Monetary Authority of Singapore (MAS), Financial Conduct Authority (FCA), Securities and Futures Commission (SFC), and Kanto Finance Bureau (KFB).



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