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Head of Regulatory Reporting (Legal Compliance)
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- The ideal candidate will particularly focus on filings to the SEC and CFTC with close work with the global compliance team to coordinate filings across all various jurisdictions.
- Serve as the primary subject matter expert with respect to regulatory submissions to the SEC, CFTC and other primary regulators pursuant to the Investment Advisers Act of 1940 and related securities regulations and exemptions
- Work collaboratively with cross-functional members of the Firm’s global Finance & Accounting, Investment Operations, Legal, and Technology departments to ensure effective and efficient operations of the Regulatory Reporting program
- Provide leadership, training, and support to the Regulatory Reporting team; ensure the team is aligned around consistent processes, systems and reporting strategies
- 10+ years of Finance industry experience in Legal and Compliance with prior work in a globally regulated asset management firm a plus
Expired 7 days agoInactive Job
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