Job Title: Regulatory Reporting Specialist
Duration: 5 months
Location: 2001 Ross Avenue, Dallas, TX
Overview
We are seeking a highly analytical and detail-oriented Regulatory Reporting Specialist to join our Asset Management Operations team. This role offers holistic ownership of regulatory reporting requirements, with a specialized focus on the preparation, validation, and submission of SEC Form N-CEN filings. The ideal candidate will ensure data accuracy for reportable transactions under the Investment Company Act of 1940 and the Investment Adviser Act of 1940, managing complex workflows and collaborating with strategic partners to navigate the evolving regulatory landscape.
Key Responsibilities
Form N-CEN Ownership: Lead the end-to-end preparation, coordination, and filing of annual Form N-CEN reports, ensuring precise census-type data (including fund organization, service providers, and liquidity classification details) is submitted in the required XML format within the 75-day regulatory deadline.
Reconciliations & Data Accuracy: Independently perform and coordinate complex data reconciliations to ensure absolute accuracy for reportable transactions under the Investment Adviser Act of 1940 and the Investment Company Act of 1940.
Audit & Regulatory Oversight: Ensure data accuracy and provide robust oversight when handling requests relating to Regulations and Audits.
Stakeholder & Partner Collaboration: Correspond with strategic business partners and third-party service providers to review open requests, establish clear ownership, and proactively evaluate processes to drive efficiencies and strengthen risk oversight.
Thought Leadership & Technology Integration: Provide expert thought leadership in navigating the evolving financial regulatory landscape (such as SEC modernization amendments) and actively participate in developing technological solutions and scalable architectures for regulatory reporting.
New Product Strategy: Collaborate with business partners to develop and implement operational strategies for navigating regulations related to both new instruments planned for future trading and evolving regulations impacting existing products.
Required Skills & Experience
Basic Qualifications
Education:
Bachelor's degree with a minimum of 3-4 years of experience in financial services, OR
Master's degree in Business Administration, Finance, Economics, or a related field with a minimum of one (1) year of experience in financial services.
Analytical Rigor: Strong analytical skills with a proven ability to understand complex operational workflows paired with meticulous attention to detail.
Communication & Escalation: Excellent communication skills to clearly articulate regulatory issues, present ideas, and provide timely escalation to senior management.
Interpersonal & Influencing Skills: Strong interpersonal skills to build relationships with key stakeholders within and outside of Operations, with the ability to challenge the status quo and continuously enhance the control environment.
Project Management: Self-motivated and proactive team player who takes ownership of projects, possesses strong organizational skills, and can manage competing priorities under tight regulatory deadlines.
Preferred Qualifications (N-CEN & Regulatory Focus)
Regulatory Knowledge: Solid understanding of financial markets, the SEC regulatory landscape, and specific reporting regimes (specifically Form N-CEN).
Risk Management: Comprehensive understanding of risk management principles, encompassing financial, operational, reputational, and regulatory risk factors.
Financial Product Expertise: Practical knowledge of financial products, including:
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Spectraforce Technologies
Jul 28, 2026