Regulatory Reporting Specialist

Job Title: Regulatory Reporting Specialist

Location: Dallas, TX

Duration: 6 months

Pay Rate: $53/HR (W2 Only)

Job/Role Description:

• This role supports regulatory reporting activities within an Asset Management Operations environment, with a specialized focus on the preparation, validation, and submission of SEC Form N-CEN filings.
• Manage the end-to-end preparation, coordination, and filing of annual Form N-CEN reports, ensuring accurate census-type data is submitted in the required XML format within applicable regulatory deadlines.
• Validate regulatory reporting data related to fund organization, service providers, liquidity classifications, and other required reporting elements.
• Independently perform and coordinate complex data reconciliations to ensure accuracy of reportable transactions under the Investment Company Act of 1940 and the Investment Advisers Act of 1940.
• Ensure data accuracy and provide oversight when responding to regulatory and audit-related requests.
• Collaborate with internal stakeholders, strategic business partners, and third-party service providers to review open requests, establish ownership, and ensure timely resolution.
• Proactively evaluate regulatory reporting processes to identify opportunities for greater efficiency, scalability, and stronger risk oversight.
• Support the organization in navigating the evolving financial regulatory landscape, including SEC reporting requirements and regulatory modernization initiatives.
• Participate in the development and implementation of technology solutions and scalable architectures supporting regulatory reporting processes.
• Collaborate with business partners to develop operational strategies for regulatory requirements associated with new financial instruments and products.
• Assess evolving regulations impacting existing financial products and support implementation of appropriate operational processes and controls.
• Manage multiple priorities and projects while meeting strict regulatory reporting deadlines.
• Provide timely escalation of regulatory issues, risks, and reporting concerns to senior management.

Required Qualifications

• Bachelor's degree with a minimum of 3–4 years of experience in financial services, OR a Master's degree in Business Administration, Finance, Economics, or a related field with a minimum of 1 year of experience in financial services.
• Strong analytical skills with the ability to understand complex operational workflows and regulatory reporting processes.
• Strong attention to detail with demonstrated ability to maintain data accuracy across complex reporting and reconciliation activities.
• Excellent written and verbal communication skills with the ability to clearly articulate regulatory issues, present ideas, and escalate concerns to senior management.
• Strong interpersonal and influencing skills with the ability to develop relationships with key stakeholders both within and outside of Operations.
• Ability to independently manage projects, take ownership of deliverables, and coordinate activities across multiple stakeholders.
• Strong organizational and project management skills with the ability to manage competing priorities under tight regulatory deadlines.
• Self-motivated, proactive, and able to work effectively in a collaborative team environment.
• Ability to evaluate existing processes, challenge the status quo, and identify opportunities to strengthen the control environment.

Preferred Qualifications

• Experience with SEC regulatory reporting, particularly Form N-CEN.
• Solid understanding of financial markets and the SEC regulatory landscape.
• Knowledge of regulatory requirements under the Investment Company Act of 1940 and the Investment Advisers Act of 1940.
• Understanding of financial, operational, reputational, and regulatory risk management principles.
• Practical knowledge of financial products including equities, fixed income, exchange-traded derivatives, and OTC derivatives.
• Experience with regulatory data reconciliation, audit support, or regulatory reporting controls.
• Familiarity with technology solutions, data workflows, or scalable architectures supporting regulatory reporting.