Regulatory Reporting Compliance Officer

Arrow Search Partners; New York (NY); On-site; USD 120,000 - 180,000; Full time

Job summary

Arrow Search Partners is seeking a compliance officer in New York, NY to support a regulatory reporting compliance program for a global investment manager. The role emphasizes filing regulatory reports, handling Form ADV/PF and other filings, and optimizing processes using SQL and Python.

The position requires staying current on U.S. and global regulatory developments and coordinating responses to regulators and internal teams.

Responsibilities

• Prepare and file regulatory reports with regulators such as SEC, CFTC, NFA and global regulators
• Experience with Form ADV, Form PF, Section 13 Filings, OTC Derivatives Reporting, Disclosure of Interest filings
• Optimize reporting workflow by utilizing SQL and Python
• Stay up to date on regulatory filing developments within the U.S. and other global jurisdictions
• Manage regulatory responses and perform analysis of documentation

Job description

Our client, a global investment manager, is looking to hire a compliance officer to supporting their regulatory reporting compliance program.

Key Responsibilities:

• Prepare and file regulatory reports with regulators such as SEC, CFTC, NFA and global regulators
• Experience with Form ADV, Form PF, Section 13 Filings, OTC Derivatives Reporting, Disclosure of Interest filings.
• Optimize reporting workflow by utilizing SQL and Python.
• Stay up to date on regulatory filing developments within the U.S. and other global jurisdictions.
• Manage regulatory responses and perform analysis of documentation.