Regulatory Reporting Manager

Work You'll Do/Responsibilities

• Manage end to end regulatory reporting activities covering 40 Act and non-40 Act funds in the investment management space (e.g., Form PF, TIC, CPO-PQR, Form 16, Form 13, N-PX, BEA reports), ensuring compliance with applicable regulatory requirements across various regulators such as SEC, CFTC, BEA, NFA, Treasury.
• Review, approve, and oversee the submission of all regulatory filings to ensure accuracy, completeness, and consistency with established standards.
• Maintain and enhance standard operating procedures, documentation, and control frameworks to support audit readiness and regulatory examinations.
• Serve as the primary escalation point for regulatory reporting issues, coordinating resolution across internal stakeholders and external service providers.
• Support regulatory exams, internal audits, and ad hoc data requests related to regulatory reporting.
• Drive continuous improvement initiatives to strengthen reporting quality, reduce operational risk, and improve process efficiency.

Qualifications

• Bachelor's degree preferably in accounting, finance, or related discipline; or equivalent experience
• 6+ years experience managing regulatory reporting processes within asset management or financial services
• Strong knowledge of regulatory reporting requirements in the investment management space
• Demonstrated ability to manage deadlines, review complex regulatory deliverables, and maintain high standards of accuracy
• Proven experience with process documentation, controls, and audit/exam support
• Strong communication skills and ability to coordinate across legal, compliance, operations, and external partners
• Limited immigration sponsorship may be available