Regulatory Reporting Manager

Deloitte Deloitte · Consulting

Manager for regulatory reporting in the investment management space, focusing on compliance with various regulators like SEC, CFTC, and BEA. Responsibilities include reviewing and approving filings, maintaining procedures, and driving process improvements.

What you'd actually do

  1. Manage end to end regulatory reporting activities covering 40 Act and non-40 Act funds in the investment management space (e.g., Form PF, TIC, CPO-PQR, Form 16, Form 13, N-PX, BEA reports), ensuring compliance with applicable regulatory requirements across various regulators such as SEC, CFTC, BEA, NFA, Treasury.
  2. Review, approve, and oversee the submission of all regulatory filings to ensure accuracy, completeness, and consistency with established standards.
  3. Maintain and enhance standard operating procedures, documentation, and control frameworks to support audit readiness and regulatory examinations.
  4. Serve as the primary escalation point for regulatory reporting issues, coordinating resolution across internal stakeholders and external service providers.
  5. Support regulatory exams, internal audits, and ad hoc data requests related to regulatory reporting.

Skills

Required

  • 6+ years experience managing regulatory reporting processes within asset management or financial services.
  • Strong knowledge of regulatory reporting requirements in the investment management space.
  • Demonstrated ability to manage deadlines, review complex regulatory deliverables, and maintain high standards of accuracy.
  • Proven experience with process documentation, controls, and audit/exam support.
  • Strong communication skills and ability to coordinate across legal, compliance, operations, and external partners.

Nice to have

  • Bachelor’s degree preferably in accounting, finance, or related discipline; or equivalent experience

What the JD emphasized

  • regulatory reporting requirements