OGC Analyst responsible for regulatory compliance and risk management at Latham & Watkins. Focused on sanctions screening and client database analysis.
About the role
- Transfer Agency Regulatory Manager leading regulatory operations for SS&C in compliance with tax reporting, escheatment, and AML. Managing a small team while ensuring operational efficiency and regulatory adherence.
Responsibilities
- Lead and oversee regulatory operations for the transfer agency team, including tax reporting, escheatment, and AML compliance.
- Manage 1–2 direct reports, providing guidance, coaching, and performance oversight.
- Ensure quality control of account setups, trades, and tax forms, advancing items efficiently through the review process.
- Escalate and resolve account-related issues by collaborating with internal teams and stakeholders.
- Analyze and calculate cost basis for shareholder accounts as needed.
- Responsible for shareholder tax reporting, control reporting, and alternatives account review.
- Review and analyze tax forms (1099, 1042, 5498), retirement account compliance, and troubleshoot issues with clients and internal departments.
- Communicate professionally and clearly with clients, intermediaries, and internal teams regarding regulatory matters.
- Test and review system functionality for new fund setups.
- Stay current on AML, tax, and other regulatory requirements and ensure team adherence.
- Lead special projects and initiatives related to operational efficiency, risk management, and regulatory compliance.
- Recommend new procedures and develop creative solutions to wide-ranging and complex issues.
Requirements
- Minimum of 5 years of financial services regulatory experience in Transfer Agency, Investor Services, or a wire house, including some leadership or supervisory experience.
- Experience in escheatment, tax reporting, or AML strongly preferred.
- Familiarity with TA2000 or similar systems is a plus.
- Proven ability to manage regulatory processes and act as a liaison between intermediaries, clients, and internal teams.
- Strong track record of meeting government and regulatory deadlines.
- Ability to mentor and guide a small team while maintaining hands-on involvement in key regulatory tasks.
- Strong analytical, problem-solving, and communication skills.
- Willingness to work on site at least 6 days per month at one of our office locations.
Benefits
- 401k Matching Program
- Professional Development Reimbursement
- Flexible Personal/Vacation Time Off
- Sick Leave
- Paid Holidays
- Medical
- Dental
- Vision
- Employee Assistance Program
- Parental Leave
- Discounts on fitness clubs
- Discounts on travel and more!
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