Regulatory Compliance Manager

About the Company The position requires interaction with Data Management, affiliate Chief Compliance Officers, Portfolio Compliance, Portfolio Managers, Legal and Operations personnel. The associate will be expected to develop credibility and solid working relationships with such personnel. Expertise and proficiency are relied upon by multiple affiliates.

Lack of appropriate coverage in this area will negatively affect the business financially, operationally and present significant regulatory and reputational ris k. About the Role Required S kills: Experience & Domain Kn owledge:9-12 years of experience in Regulatory Reporting or experience within investment advisory businessFamiliarity with compliance related activities and applicability of regulatory reporting requi rements.Familiarity with SEC reporting obligations under Section 13 and Section 16 of the Excha nge Act.Familiarity with non-U.S. jurisdiction regulatory reporting regimesRegulatory Re porting:Prepare Ad Hoc, Monthly, Quarterly and Annual regulatory disclosures: Non US Large Shareholder Disclosures, Schedule 13D/G filings, Form 13F filings, Form 13H filings, CFTC/NFA, Form PF, and Federal Reserve TIC and other regulatory filings.Maintain an up-to-date foreign regulations and industry rules Compliance Responsib ilities:Accurate and timely completion of reports, projects and initiatives as required. (large shareholder disc losures)Compile and distribute required reporting: ad hoc, monthly, quarterly and annual requests (internal and external c lients).Technical Skills:Experience with OMS and Portfolio Accounting applications — Charles River Development (CRD), Bloomberg, and FactsetAbility to retrieve and analyze data from equity holdings repositories, trade blotters, data warehouses, OMS, and accounting systemsAdvanced Excel proficiency (Microsoft Offic e Suite)Knowledge of securities data — Equity, Fixed Income, Convertible Bonds, Preferred Securities, Options, and Der ivativesAnalytical & Communication Skills:Superior ability to accumulate, organize, and analyze large volumes of data with attention t o detailExcellent written and verbal communicatio n skillsAbility to present complex information clearly to varied a udiencesStrong prioritization, quantitative, and problem-solvin g skills Prefe rred Skills Certification such as CAIA or CFA is beneficialWorking knowledge of back-office operati ons is a plus