Top 65552 Regulatory Associate Jobs

Regulatory Reporting Specialist
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Quick Apply
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Regulatory Reporting Specialist

Ultimus Fund Solutions -
Remote

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Job Details

Full-time
$55,000 - $75,000 a year

Qualifications

Bachelor's degree in business
Employee relationship building
Bachelor's degree in business administration

Full Job Description

SUMMARY
The Regulatory Reporting Specialist is responsible for processing and reconciling mutual fund tax reporting, monitoring reporting outputs, and overseeing shareholder accounts to ensure the accurate identification and escheatment of abandoned property. Additionally, this role manages shareholder contact and returned mail records, coordinates lost shareholder searches, and facilitates the escheatment of abandoned property to applicable state jurisdictions. The primary objective of the Regulatory Reporting Specialist is to ensure compliance with state abandoned property laws while maintaining accurate reporting of tax-reportable shareholder activity.

KEY ACCOUNTABILITIES

Generates shareholder tax forms, including Forms 1099-DIV, 1099-R, 1099-Q, 1099-SA, 1099-B, 1042-S, 5498, and 5498-ESA.
Reconciles tax form output against established control reports to ensure accuracy and completeness.
Maintains the shareholder recordkeeping system in accordance with regulatory requirements and under the guidance of management.
Reviews system and control reports to monitor shareholder contact activity and returned mail, and partners with management to coordinate state reporting and escheatment activities as needed.
Monitors regulatory changes and communicates relevant updates to management, operations teams, and other stakeholders.
Prepares files for delivery to the escheatment vendor and coordinates deep search reviews.
Reviews escheatment vendor deep search results and coordinates additional due diligence with clients in accordance with client-specific procedures.
Collaborates with operations teams and regulatory consulting tools to validate deep search results and direct the escheatment vendor to file abandoned property reports.
Tracks state regulatory changes related to abandoned property and communicates updates to internal stakeholders.
Educates internal and external stakeholders on regulatory updates and evolving state requirements.
Interprets regulatory guidance and implements clear, consistent operational procedures to ensure compliance.

WORKING RELATIONSHIPS

Acts as the backup liaison to print and abandoned property vendors (FSSI and Keane Tracers.)
Contact with members of team and internal teams regarding follow-up on inquiries, open workflow, etc.

May perform other duties as required and assigned.

EDUCATION AND EXPERIENCE

Bachelor’s degree in business administration.
2-3 years of experience in mutual fund operations.
Experience with mutual fund tax reporting requirements.

KNOWLEDGE

Mutual fund operations and transaction processing impact to shareholder tax reporting.
State escheatment rules.
Mutual fund tax reporting requirements.
Microsoft Office Suite.
Adobe Acrobat.

SKILLS AND ABILITIES

Troubleshoots issues utilizing creative and critical thinking skills.
Multitasking, analytical, and organizational skills.
Initiative-taking, strategic, and meticulous approaches with a strong commitment to quality, efficiency, and effectiveness.
Demonstrates personal integrity, responsibility, and accountability.
Effectively uses resources such as time and information in conjunction with associates.
Participates in solving problems and making decisions.
Presents and expresses ideas and information, written and oral, clearly, and concisely.
Actively listens to others to achieve understanding and supports an open exchange of ideas and information.
Identifies needs, arranges for, and obtains resources to accomplish individual and department goals.
Establishes and develops effective working relationships with associates and clientele during both favorable and unfavorable situations.
Modifies team and individual priorities and deadlines in response to added information, changing conditions, or unexpected obstacles and ensures completion.

Equivalent education, experience, and KSA’s will be considered.

Ultimus is an equal opportunity employer and does not discriminate on the basis of the applicant’s or employee’s race, color, religion, national origin, ancestry, gender, sexual orientation, age, disability, veteran or military status, genetic information, citizenship or any other status entitled to protection under federal, state or local anti-discrimination laws. No questions on our employment application are intended to secure information that is to be used for impermissible purposes.

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