- Oversee and execute day-to-day beneficial ownership reporting obligations, ensuring the firm's activities remain compliant with relevant regulations.
- Serve as a subject matter expert, providing guidance to junior team members and advising on the application of ownership rules to new instruments and business initiatives.
- Monitor regulatory developments, refine reporting protocols, and coordinate with legal, compliance, front office, and technical teams to address complex disclosure questions.
- Build redundancy and resilience within the team by taking ownership of major reporting areas and supporting knowledge transfer across the group.
- A bachelor's degree or higher is required; experience managing or mentoring team members is beneficial.
- Six to ten years of experience in regulatory reporting, compliance, or a related legal or operational role within a financial services firm; experience at a multi-strategy hedge fund or similarly complex organization is highly valued.
- Demonstrated expertise in beneficial ownership reporting regimes in the U.S. and/or EU, with the ability to operate independently and provide interpretive guidance on evolving regulations.
- Sound analytical skills, comfort with numbers and operational processes, and proficiency with Excel; experience translating regulatory requirements into operational or technical solutions is a plus.
- Excellent communication and collaboration skills, well-developed judgment and discretion, and the ability to coordinate workstreams across legal, compliance, operations, front office, and technology teams.
- A high level of motivation, a consistent record of taking initiative, well-developed problem-solving skills, and the ability to think creatively and strategically.
- The expected annual base salary for this position is $150,000 to $215,000. Our compensation and benefits package includes variable compensation in the form of a year-end bonus, guaranteed in the first year of hire, and benefits including medical and prescription drug coverage, 401(k) contribution matching, wellness reimbursement, family building benefits, and a charitable gift match program.
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Regulatory Reporting Specialist - New York - D. E. Shaw & Co.
Description
What you'll do day-to-dayThe applicable annual base salary or hourly rate paid to a successful applicant will be determined based on multiple factors, including without limitation the nature and extent of prior experience and educational background.
European Union (EU) , United Kingdom (UK) , California , Hong Kong , Singapore , or Shanghai candidates should refer to the corresponding linked privacy notice.
The D. E. Shaw group may collect, use, hold, transfer, and process candidates' resumes and associated information (including personal information contained therein) for purposes reasonably related to their application, including without limitation: review and management of employment applications and supporting materials; administration and management of offers to and communication with candidates; and administration, management, and improvement of the recruiting operations of the D. E. Shaw group; and/or where reasonably required in connection with a proposed sale, spin-out, reorganization, or outsourcing of all or some of the business of the D. E. Shaw group. The D. E. Shaw group will not use such information for purposes unrelated to the foregoing, such as direct marketing of third-party products to candidates, without candidate consent. As used herein, the term "personal information" is meant to broadly describe information identifying or relating to a specific individual; it is intended to encompass "personal data," "sensitive personal data," and "personally identifiable information" and similar terms, as those terms are defined by law in the jurisdictions in which the D. E. Shaw group operates.
The D. E. Shaw group may transfer such personal information within and outside the country and jurisdiction of the locations where the D. E. Shaw group maintains offices, to other D. E. Shaw group affiliates, to government and regulatory authorities, and to third parties which provide or may provide support and/or services to the D. E. Shaw group and for the purposes set forth above. The persons who may have access to this personal information are other employees of the D. E. Shaw group, in connection with the performance of their duties of employment, and the other parties listed above, in connection with the business of the D. E. Shaw group. (Of course, candidates will be considered for employment opportunities only in those countries in which they express interest.)
The D. E. Shaw group will use reasonable care to maintain the confidentiality of personal information (including appropriate technical measures against unauthorized or unlawful processing and against accidental loss or destruction of, or damage to, such information) and will retain such data as required by applicable law or regulation. Candidates have the right to request access to, and correction of, their personal information in accordance with applicable law; any such request should be submitted to recruiting- . Candidates who have submitted a resume to the D. E. Shaw group and do not wish to proceed with their applications should email . Personal information of candidates who have been the subject of background checks may have been transferred in accordance with applicable regulations, and any concerns with such transfers should be submitted to backgroundcheck- .
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