Client Regulatory Sr. Associate

HS Financial Technologies • Raleigh, NC

13d

About The Position

The Client Regulatory Sr. Associate is responsible for operational requirements related to hedge fund regulatory compliance reporting, including SEC Form PF, CFTC Form CPO-PQR, EU Investment Fund Reporting (AIFMD), and OPERA reporting. The role also encompasses management reporting, client interactions, regulatory research, presentations, and special projects.

The position works across operational and technology teams to prepare and file regulatory reports accurately and on time, research regulatory requirements, support the implementation of regulatory services, and manage client communications about regulatory updates and service changes.

Requirements

• 2–4 years of experience in audit or tax in the alternative investments space at a national accounting firm.
• A high degree of Microsoft Excel experience, including data management, efficiencies, and controls.
• Experience with financial products, including understanding financial theory and the operations of various cash and derivative instruments.
• Strong organizational skills and the ability to manage multiple assignments and competing priorities.
• Notable oral and written communication skills.
• System testing experience and experience documenting system processes, such as with flowcharts.

Responsibilities

• Review and prepare accurate, complete regulatory reporting filings and ensure they are filed by prescribed deadlines.
• Liaise with HS Financial Technologies operations teams, including Middle Office, Fund Accounting, and Investor Services.
• Resolve issues and take on special projects or tasks as assigned.
• Support research into new regulatory requirements and educate client service teams about the requirements and their impact on clients.
• Assist with implementation of regulatory service offerings, including systems integration with a third-party provider.
• Ensure software development related to the regulatory compliance service offering is scheduled, tested, and deployed.
• Work with operating and technology teams to incorporate new workflows into the firm's technology strategy.
• Assist with client communications about regulatory updates, changes, and new regulatory service offerings.
• Ensure client requests for service changes or enhancements are managed appropriately.

Benefits

• Flexible working arrangements.
• Comprehensive health and well-being benefits.
• Structured development programs, leadership opportunities, and clear paths for growth.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: No Education Listed