Compliance and Regulatory Associate

Atlas Search; Greenwich (CT); On-site; USD 70,000 - 100,000; Full time

Job summary

Atlas Search is seeking a Regulatory Reporting Associate to join our Regulatory and Compliance team in Greenwich, CT. You will work closely with leadership on regulatory filings and reporting activities across U.S.

and international filings such as Form ADV, Form PF, BE-185, and Regulation D. You will liaise with business teams to collect data, develop procedures for filings, monitor regulatory developments, inform senior management, and collaborate with stakeholders to improve data quality and

Qualifications

• 2–5 years of registered investment adviser experience or similar in regulatory filings.
• Experience with alternative investments and SEC/ private funds filings.
• Ability to lead discussions with senior stakeholders and manage multiple deadlines.
• Organized, detail oriented, with big picture thinking and proactive learning.
• Proficiency in Excel and Word; willingness to learn new tech.

Responsibilities

• Collect and aggregate data for U.S. and international regulatory filings.
• Develop, update, and implement procedures for robust filing processes.
• Monitor regulatory developments and inform senior management of changes.
• Collaborate with internal and external stakeholders to improve data quality and efficiency.
• Assist with ad-hoc compliance matters as needed.

Skills

Regulatory reporting

Stakeholder communication

Project management

Attention to detail

Team collaboration

Education

Bachelor's degree in Finance/Accounting

Tools

Microsoft Excel

Microsoft Word

Job description

our firm is looking for a Regulatory Reporting Associate to join the Regulatory and Compliance team. This individual will work closely with the Vice President of Regulatory Reporting and the Co-Chief Compliance Officers on a variety of compliance matters, most specifically those pertaining to regulatory reporting.

Responsibilities

• Liaise with relevant business teams to collect and aggregate data and prepare for submission various U.S. and international regulatory filings including, Form ADV, Form PF, BE-185, Form SLT, Form 45-106F1, and Regulation D and blue-sky filings.
• Develop, update, and implement procedures, as needed, to ensure robust processes for regulatory filings.
• Monitor and analyze industry-wide compliance initiatives and federal, state, and non-U.S. regulatory developments to determine how such developments may impact iCapital’s activities and reporting requirements, as well as discuss such changes with senior management.
• Inform senior management of any material regulatory or operational changes.
• Collaborate with internal and external stakeholders to improve data quality, processes, operational readiness, scalability, and efficiency.
• Assist with ad-hoc compliance-related matters.

Company Requirements:

Qualifications

• 2-5 years of registered investment adviser experience, preferably in preparing regulatory filings
• Experience with alternative investments and understanding of compliance restrictions around private placements, including SEC filings for private funds
• Comfortable leading discussions and initiatives with senior internal and external stakeholders
• Able to manage multiple deadlines and projects
• Organized and detailed oriented with big picture capability
• Strong interpersonal and leadership skills
• Willingness to learn new topics and work in an evolving business environment
• Proficiency in Microsoft Excel and Microsoft Word and an aptitude to quickly pick up additional technologies