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Edgar Filing information

What is the difference between Edgar Filing vs Tax Preparer?

AspectEdgar FilingTax Preparer
Required CredentialsMay require knowledge of SEC regulations, sometimes certifications like SEC EDGAROften requires PTIN, possibly credentials like EA or CPA
Work EnvironmentTypically office-based, working with financial filings and regulatory documentsCan be office or remote, preparing individual or business tax returns
Industry UsageUsed mainly in finance, legal, and corporate sectors for regulatory filingsUsed broadly in accounting, finance, and personal finance sectors

Edgar Filing involves preparing and submitting financial documents to the SEC, often requiring specific regulatory knowledge. Tax Preparer focuses on preparing tax returns for individuals or businesses, with different certification requirements. While both roles involve financial documentation, Edgar Filing is more regulatory-focused, whereas Tax Preparer centers on tax compliance.

What are some common challenges faced by professionals handling EDGAR filings, and how can they be managed?

Professionals responsible for EDGAR filings often encounter challenges such as tight SEC deadlines, evolving compliance requirements, and the need for meticulous accuracy in documentation. To manage these challenges effectively, it's important to stay updated on SEC regulations, utilize specialized EDGAR filing software, and maintain clear communication with legal and finance teams. Time management and attention to detail are critical, as even minor errors can lead to filing rejections or regulatory penalties.

What is an edgar filing job?

EDGAR Filing jobs involve preparing and submitting documents to the U.S. Securities and Exchange Commission (SEC) using the Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system. Professionals in these roles ensure that public companies and certain insiders file required forms such as annual reports, quarterly reports, and registration statements accurately and on time. They need to be familiar with SEC regulations, document formatting requirements, and the technical aspects of the EDGAR system. Attention to detail and compliance with deadlines are crucial aspects of this job.

What are the key skills and qualifications needed to thrive as an EDGAR Filing Specialist, and why are they important?

To thrive as an EDGAR Filing Specialist, you need a solid understanding of SEC filing requirements, attention to detail, and experience with financial and legal documentation, often supported by a degree in business, finance, or a related field. Familiarity with the SEC's EDGAR filing system, document preparation software (such as Workiva or GoFiler), and possibly XBRL tagging tools is essential. Strong organizational skills, problem-solving abilities, and effective communication help ensure filing accuracy and compliance under tight deadlines. These skills are crucial for maintaining regulatory compliance and supporting a company or client's reputation with timely and error-free submissions.
What are popular job titles related to Edgar Filing jobs in Connecticut? For Edgar Filing jobs in Connecticut, the most frequently searched job titles are:
What job categories do people searching Edgar Filing jobs in Connecticut look for? The top searched job categories for Edgar Filing jobs in Connecticut are:
Edgar Filing jobs near you

Regulatory and Compliance, Registered Funds - Senior Vice President

iCapital

Greenwich, CT • On-site

$190K - $225K/yr

Full-time

Medical, Dental, Vision, Retirement, PTO

Re-posted 11 days ago

Job description

About the Role
iCapital is seeking a Senior Vice President to join its Regulatory and Compliance team to manage iCapital's registered 1940 Act product compliance program. This role will work closely with the senior portfolio management, business, Regulatory and Compliance, and the Legal team members on a variety of compliance matters focused on registered funds including assisting with new fund initiatives, improving policies and procedures, implementing and maintaining testing programs, reviewing marketing materials, and overseeing regulatory reporting. The ideal candidate has experience managing a team and is highly organized, willing to learn new things, collaborative, detail-oriented, and possesses excellent interpersonal and communication skills.
Responsibilities
  • Maintain expert knowledge of the Investment Company Act of 1940 (1940 Act) and the Investment Advisers Act of 1940 (IAA) and rules and regulations applicable to 1940 Act Registered Funds and investment advisers to 1940 Act Registered Funds (Investment Advisers).
  • Monitor and advise on regulatory developments affecting Registered Funds and Investment Advisers, including valuation, liquidity, affiliation, and related rulemaking.
  • Provide compliance leadership and support for Registered Funds initiatives, including identifying regulatory risks and developing practical solutions.
  • Advise the Product, Portfolio Management, Operations teams and other stakeholders on product structuring, operations, investment strategies, disclosures and regulatory compliance under the 1940 Act and the IAA.
  • Lead compliance efforts for Registered Funds launches and product changes from concept through effectiveness and post launch execution.
  • Translate regulatory requirements and fund governing documents into scalable policies, procedures, and compliance controls.
  • Oversee product specific compliance obligations, including disclosure monitoring, trade error resolution and regulatory filings.
  • Conduct pre and post trade compliance testing and monitoring, portfolio guideline testing, and issue resolution.
  • Perform compliance testing, reporting, and remediation tracking to ensure timely resolution of issues.
  • Oversee and coordinate compliance reviews of third-party service providers, including administrators, custodians, legal counsel, and auditors.
Qualifications
  • Bachelor's degree is required
  • JD is a plus but not required
  • Series 7 and 24 licenses are required
  • 10+ years of experience, preferably with both Registered Fund and registered Investment Adviser experience
  • Strong knowledge of the Investment Company Act of 1940, the Investment Advisers Act of 1940, Securities Act of 1933 and Securities Exchange Act of 1934, as well as SEC Rule 482, and applicable FINRA rules including FINRA Rule 2210
  • Experience with registered investment company EDGAR filings including shareholder reports (N-CSR) and tender offers (SC TO-I)
  • Strong interpersonal and leadership skills
  • Willingness to learn new topics and work in an evolving business environment
  • Organized and detailed oriented with big picture capability
  • Proficient in MS Excel and Word
Benefits
The base salary range for this role is $190,000 to $225,000. iCapital offers a compensation package which includes salary, equity for all full-time employees, and an annual performance bonus. Employees also receive a comprehensive benefits package that includes an employer matched retirement plan, generously subsidized healthcare with 100% employer paid dental, vision, telemedicine, and virtual mental health counseling, parental leave, and unlimited paid time off (PTO).
We believe the best ideas and innovation happen when we are together. Employees in this role will work in the office Monday-Thursday, with the flexibility to work remotely on Friday.
For additional information on iCapital, please visit https://www.icapitalnetwork.com/about-us Twitter: @icapitalnetwork | LinkedIn: https://www.linkedin.com/company/icapital-network-inc | Awards Disclaimer: https://www.icapitalnetwork.com/about-us/recognition/
iCapital is proud to be an Equal Employment Opportunity and Affirmative Action employer. We do not discriminate based upon race, religion, color, national origin, gender, sexual orientation, gender identity, age, status as a protected veteran, status as an individual with a disability, or other applicable legally protected characteristics.

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