Spectraforce Technologies - Dallas, TX
posted 4 months ago
The Asset & Wealth Management - Operations - Regulatory Middle Office Analyst position is a critical role within the Regulatory Middle Office (RMO) team, which is dedicated to ensuring compliance with asset management regulations. This role involves collaborating with various stakeholders, including portfolio managers, compliance specialists, and attorneys, to mitigate risks associated with regulatory position and transaction reporting. The RMO team is responsible for providing business management and expertise in regulatory reporting, filings, and trade surveillance, while also managing audits and ensuring the accuracy of regulatory reporting. In this position, you will gain a comprehensive understanding of regulatory reporting requirements from an Asset Management Operations perspective. You will perform surveillance to monitor for potential breaches of limits set by regulators and exchanges, and conduct reconciliations to ensure data accuracy for reportable transactions under the Investment Adviser Act of 1940. Additionally, you will coordinate quarterly and monthly Board Reporting for proprietary and sub-advised funds, as well as manage TIC-S filings to the Federal Reserve Bank and Form N-CEN filings to the SEC. Your role will also involve assisting with data provision for regulatory filings such as Form ADV, Form PF, CPO-PQR, and CPO-CTA, ensuring data accuracy and oversight in handling requests related to regulations and audits. The position requires daily correspondence with strategic business partners to review open requests and assign ownership, as well as a proactive approach to reviewing processes for efficiency and improved risk oversight. This role is ideal for individuals looking to apply their analytical skills while deepening their understanding of asset management regulation in a dynamic and collaborative environment.