Status: Contract Assignment

Role: Regulatory Specialist

Duration: one year

Location: Dallas, TX – 100% onsite

Pay Rate: $40-45/hour

OVERVIEW:

The Regulatory Middle Office (RMO) team has an open headcount that we are looking to fill. The additional headcount will be used to build out a new Dallas-based Regulatory Middle Office team in line with the global team’s location strategy. The role will be part of the regulatory response function of the team, performing position monitoring, surveillance, and regulatory reporting for Investment Management regulatory obligations.

BASIC QUALIFICATIONS

• Bachelor’s degree

• 5-7 years experience in the Finance Industry and/or Regulatory Industry

• 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

• 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

HOW YOU WILL FULFILL YOUR POTENTIAL

• Gain a holistic ownership and understanding of Regulatory Reporting requirements from an Asset Management Operations perspective.

• Perform surveillance to monitor for potential breaches of 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