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Manager of Regulatory Compliance Reporting

2 months ago

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

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

The Regulatory Reporting division is responsible for the preparation of reports, coordinating extensive cross-departmental submissions, overseeing the technology that supports regulatory filings, and pinpointing opportunities for automation and process enhancement.

Key Responsibilities

  • Lead and manage cross-functional regulatory reporting initiatives and submissions, ensuring detailed execution as necessary.
  • Analyze forthcoming regulations and collaborate with various departments to devise and implement processes and solutions that address evolving regulatory demands.
  • Support the development and tracking of team operational KPIs and reporting dashboards.
  • Review and draft responses for regulatory submissions.
  • Work in partnership with Compliance, Tax, Legal, Finance, Technology, and Operations teams on submissions, inquiries, and projects.
  • Promote continuous improvement of the team's processes through automation and identifying opportunities for enhanced efficiency and control.

Qualifications

  • Over 10 years of experience in regulatory reporting within a financial institution.
  • Familiarity with regulations such as Form PF, Form ADV, Section 13 filings, and various transaction reporting frameworks (MIFID II, MAS OTC Derivatives, CFTC).
  • Proven ability to navigate organizational structures and cultivate effective relationships through strong communication and interpersonal skills.
  • Experience in managing complex, cross-functional projects.
  • An analytical mindset with the capability to conduct thorough analyses with minimal guidance, gather and synthesize information to draw fact-based conclusions and recommendations.
  • Dedication to maintaining the highest ethical standards.

Regulatory bodies 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).