Business Associate, Regulatory Compliance Specialist

Regulatory Reporting Specialist – Asset Management Operations

We are looking for a detail-oriented Regulatory Reporting Specialist to join our Asset Management Operations team. This role is responsible for preparing, validating, and submitting SEC Form N-CEN filings while ensuring compliance with U.S. regulatory requirements. The ideal candidate will work closely with Operations, Compliance, Legal, Technology, and external partners to deliver accurate and timely regulatory reporting.

• Prepare, review, and submit annual SEC Form N-CEN filings.
• Perform data reconciliations and ensure reporting accuracy.
• Support regulatory audits and compliance reviews.
• Collaborate with internal teams and third-party service providers.
• Monitor regulatory changes and recommend process improvements.
• Support reporting requirements for new investment products.

• Bachelor's degree with 3–4 years of experience in Financial Services, Asset Management, Investment Operations, Regulatory Reporting, or Compliance;
  or
• Master's degree with 1+ year of relevant experience.

• Knowledge of SEC Form N-CEN and U.S. regulatory reporting.
• Understanding of the Investment Company Act of 1940 and Investment Advisers Act of 1940.
• Strong analytical, reconciliation, and problem‑solving skills.
• Excellent communication and stakeholder management abilities.
• Familiarity with equities, fixed income, and derivatives is preferred.

*** Pay range- $50.00 - $53.00/hour

Russell Tobin offers eligible employee’s comprehensive healthcare coverage (medical, dental, and vision plans), supplemental coverage (accident insurance, critical illness insurance and hospital indemnity), 401(k)-retirement savings, life & disability insurance, an employee assistance program, legal support, auto, home insurance, pet insurance and employee discounts with preferred vendors.