Regulatory Operations Associate at Jobgether – United States
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About This Position
This position is posted by Jobgether on behalf of a partner company. We are currently looking for a Regulatory Operations Associate in the United States.
This role is part of a specialized regulatory operations team supporting financial services firms in meeting complex and evolving compliance obligations. You will work at the intersection of regulatory filings, client services, and operational execution, ensuring that investment advisers, broker-dealers, and other financial institutions remain fully compliant with SEC and FINRA requirements. The position offers exposure to a wide range of regulatory processes, from registration filings to ongoing amendments and disclosures. You will collaborate closely with internal compliance experts and external stakeholders in a fast-paced, detail-oriented environment where accuracy and timeliness are critical. This is an opportunity to develop deep expertise in financial regulation while supporting clients with high-impact compliance solutions. The role is ideal for someone who thrives in structured yet dynamic environments and enjoys solving complex regulatory challenges.
- Support investment advisers and financial services clients in managing ongoing regulatory obligations and filings.
- Prepare and submit regulatory documents including Form ADV annual and interim amendments, Form U4 applications, Form D filings, Form PF, and SEC EDGAR submissions such as Form 13F, 13H, and Form ID.
- Coordinate registration processes with SEC and state regulators for investment adviser and broker-dealer firms.
- Review and manage disciplinary disclosures (DRPs) to ensure accuracy and compliance with regulatory requirements.
- Collaborate with internal compliance specialists, client services teams, and other departments to resolve client regulatory issues.
- Utilize internal compliance platforms and tools to manage workflows, track filings, and support client deliverables.
- Participate in team meetings and provide updates on workload status, client matters, and regulatory progress.
Requirements:
- Strong analytical and problem-solving skills with the ability to interpret and apply regulatory requirements.
- Experience handling multiple priorities and managing complex, deadline-driven tasks across various projects.
- Excellent communication and interpersonal skills with the ability to work effectively with clients and internal stakeholders.
- Proficiency in Microsoft Office Suite (Excel, Word, Outlook); familiarity with Salesforce is a plus.
- Experience with FINRA/IARD, WebCRD, or SEC EDGAR systems is highly desirable.
- Strong organizational skills, attention to detail, and ability to work in a structured, client-focused environment.
- Ability to work both independently and collaboratively in a fast-paced, remote-friendly setting.
Benefits:
- Competitive salary range between $60,000 and $75,000 USD, with total compensation up to approximately $82,500 including bonuses and additional offerings.
- Comprehensive benefits package including healthcare coverage and additional employee support programs.
- Remote-friendly and collaborative work environment with strong cross-functional support.
- Opportunities for professional growth in regulatory compliance and financial services operations.
- Exposure to leading compliance technologies and proprietary regulatory platforms.
- Inclusive workplace culture committed to equal opportunity and professional development.