What are the responsibilities and job description for the Client Regulatory Sr. Associate position at Dagen?
Job Description
The role will be responsible for various operational requirements surrounding hedge fund regulatory compliance reporting. This includes, but is not limited to, SEC Form PF, CFTC Form CPO-PQR, EU Investment Fund Reporting (AIFMD) and OPERA reporting. The role will also include certain aspects of management reporting, client interactions, regulatory research, presentations and special projects.
Role Responsibilities
Operational
- Review & prepare accurate and complete Regulatory Reporting filings and ensure all filings are filed within the prescribed deadlines
- Liaise with other operations teams within the company, including Middle Office, Fund Accounting and Investor Services
- Resolve issues and take on special projects or tasks as assigned
- Supporting the research of new regulatory requirements and educating the company's client service teams on the requirements and how they impact their clients
Technology
- Assist with the firm’s implementation of its regulatory service offerings, including systems integration with a third party provider
- Be responsible for ensuring any software development is scheduled, tested and deployed as it relates to the regulatory compliance service offering
- Work with other operating and technology teams to incorporate new workflows into the firm’s overall technology strategy
Client Management
- Assist in client communications alerting clients of any updates or changes to regulations or any new regulatory service offerings
- Ensure that client requests for service changes or enhancements are managed appropriately
Pre-Requisite Knowledge, Skills, and Experience
- 2 to 4 years of experience in audit or tax in the alternative investments space at a national accounting firm
- Computer skills including high degree of Microsoft Excel experience regarding data management, efficiencies and controls
- Financial Product experience (understanding of financial theory and operations for a variety of cash and derivative instruments)
- Organization skills/ ability to manage multiple assignments and competing priorities
- Notable oral and written communication skills
- System Testing experience and documentation of system process (i.e., flowcharts)
Sr. Regulatory Affairs Consultant
Synergy Bioscience -
Dallas, TX
