Your Impact Are you looking to apply your analytical skills while deepening your understanding of asset management regulation? Our Regulatory Middle Office team is seeking a professional who is looking to collaborate with portfolio managers, client relationship managers, compliance specialists and attorneys to mitigate risks associated with the capture and documentation of regulatory position and transaction reporting.
Our Impact Operations is a dynamic, multi-faceted division that partners with all parts of the firm to deliver banking, sales and trading and asset management capabilities to clients around the world. In addition, Operations provides essential risk management and control to preserve and enhance the firm’s assets and its reputation. For every trade agreed, every new product launched or market entered, every transaction completed, it is Operations that develops the processes and controls that makes business flow. The Regulatory Middle Office (“RMO”) team is responsible for providing business management and expertise in Asset Management’s regulatory reporting, filings, and trade surveillance, as well as initializing and driving the full-cycle of various audits. RMO serves as the regulatory interface for internal and external business partners including Auditors, Fund Administrators, Custodians, Controllers, Legal, Compliance, Trading Desks, Client Relationship Management, Technology, and other Operational teams. RMO is keenly focused on risk management; ensuring the accuracy and precision of regulatory reporting and audit management.
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 for 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
Basic Qualifications
Bachelor’s degree
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 with the ability to influence a wide range of stakeholders
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
Education: Bachelors Degree
About Us: Established in 2004, SPECTRAFORCE® is one of the largest and fastest-growing diversity-owned staffing firms in the US. The growth of our company is a direct result of our global client service delivery model that is powered by our state-of-the-art A.I. proprietary talent acquisition platform, robust ISO 9001:2015/ISO 27001 certified processes, and strong and passionate client engaged teams. We have built our business by providing talent and project-based solutions, including Contingent, Permanent, and Statement of Work (SOW) services to over 140 clients in the US, Canada, Puerto Rico, Costa Rica, and India. Key industries that we service include Technology, Financial Services, Life Sciences, Healthcare, Telecom, Retail, Utilities and Transportation. SPECTRAFORCE is built on a concept of “human connection,” defined by our branding attitude of NEWJOBPHORIA®, which is the excitement of bringing joy and freedom to the work lifestyle so our people and clients can reach their highest potential. Learn more at: http://www.spectraforce.com
Benefits: SPECTRAFORCE offers ACA compliant health benefits as well as dental, vision, accident, critical illness, voluntary life, and hospital indemnity insurances to eligible employees. Additional benefits offered to eligible employees include commuter benefits, 401K plan with matching, and a referral bonus program. SPECTRAFORCE provides unpaid leave as well as paid sick leave when required by law.
Equal Opportunity Employer: SPECTRAFORCE is an equal opportunity employer and does not discriminate against any employee or applicant for employment because of race, religion, color, sex, national origin, age, sexual orientation, gender identity, genetic information, disability or veteran status, or any other category protected by applicable federal, state, or local laws. Please contact Human Resources at LOA@spectraforce.com if you require reasonable accommodation.
California Applicant Notice: SPECTRAFORCE is committed to complying with the California Privacy Rights Act (“CPRA”) effective January 1, 2023; and all data privacy laws in the jurisdictions in which it recruits and hires employees. A Notice to California Job Applicants Regarding the Collection of Personal Information can be located on our website. Applicants with disabilities may access this notice in an alternative format by contacting NAHR@spectraforce.com.
LA County, CA Applicant Notice: If you are selected for this position with SPECTRAFORCE, your offer is contingent upon the satisfactory completion of several requirements, including but not limited to, a criminal background check. We consider qualified applicants with arrest or conviction records for employment in accordance with all local ordinances and state laws, including the Los Angeles County Fair Chance Ordinance for Employers (FCO) and the California Fair Chance Act (FCA). The background check assessment will consider whether a criminal history could reasonably have a direct, adverse impact on the job-related safety, security, trust, regulatory compliance, or suitability for this role. Such findings may result in withdrawal of a conditional job offer.
At SPECTRAFORCE, we are committed to maintaining a workplace that ensures fair compensation and wage transparency in adherence with all applicable state and local laws. This position’s starting pay is: $23.00/hr.
