Associate

Regulatory Reporting Specialist – Asset Management Operations

Location: Dallas, TX | Job Type: Full-time/Contract

About the Role:

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.

Key Responsibilities:

• 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.

Qualifications:

• 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.

Preferred Skills:

• 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

Benefits Info:

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.

ABOUT US:

Russell Tobin is a leading minority-owned professional and technical recruitment and staffing advisory organization. We are comprised of specialized practices focusing on a variety of skill sets and industries. Having a depth and breadth of industry expertise, our subject matter experts are able to provide tailored and swift sourcing solutions to fulfill client hiring needs. In other words, we connect top talent with companies.

As a certified minority-owned business, Pride Global and its affiliates - including Russell Tobin, Pride Health, and Pride Now - are committed to creating a diverse environment and are proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, genetics, pregnancy, disability, age, veteran status, or other characteristics.

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

Applicant Privacy Disclosure:

We collect personal information from applicants during the recruiting, pre-offer, and offer process.

During the recruiting, pre-offer process and offer process, we may collect the following categories of personal information:

1. Identifiers , such as name, address, and email address.
2. Professional and Employment-Related Information , such as resume, work history, education, and qualifications.
3. Information Voluntarily Provided by You in connection with the recruiting and pre-offer process.
4. Sensitive Personal Information , where legally permitted and necessary, such as Social Security number and date of birth.

Personal information is collected and used for the following business purposes: evaluating qualifications and eligibility for employment; communication regarding the recruitment and application process; verifying eligibility for employment; and complying with applicable legal, regulatory, and contractual obligations.

Personal information is collected and used only as necessary, and we are committed to data minimization, privacy, and providing equal employment opportunities. We are an international organization, and personal information may be accessed or processed by authorized personnel or service providers located outside the United States, subject to appropriate safeguards. We restrict use and access to personal information to authorized personnel and service providers with confidentiality and data security obligations. We maintain administrative, technical, and physical safeguards designed to protect personal information from unauthorized access, use, or disclosure.

For information about our privacy practices, please review our Privacy Policy at: https://prideglobal.com/privacy-policy

If you do not consent to the collection of such personal information, please advise us immediately in writing at [email protected]