1940 Act Regulatory Administration Manager
About The Position
The Regulatory Administration group supports fund clients by preparing registered investment company regulatory filings, fund governance documents, and oversight materials in support of fund legal counsel. The role drafts, reviews, and prepares fund registration statements for filing with the U.S. Securities and Exchange Commission (SEC), including new fund registrations and annual updates. It also handles supplements, exchange listing applications, exemptive relief applications, proxy statements, and related SEC filings; communicates with the SEC and other regulatory agencies and self-regulatory organizations on behalf of fund clients; and prepares materials and minutes for investment company board meetings. The position serves as a resource on regulations and industry developments for fund clients and internal business lines, in support of legal counsel. The role has a hybrid/flexible schedule, with an expectation to work in the office three or more days per week and flexibility to work outside the office location on other days.
Requirements
- Law degree.
- Licensed to practice in the applicable jurisdiction.
- Two to four or more years of related experience.
- Strong verbal and written communication skills and attention to detail.
- Strong research skills.
- Ability to manage multiple tasks simultaneously in a deadline-driven environment and contribute to department and organizational special projects.
- Ability to work independently and as part of a team, with flexibility and adaptability.
- Strong computer skills, including document preparation and review in Word or similar applications, and strong knowledge of Excel, Outlook, and Teams.
Nice To Haves
- Legal experience in the investment management practice of a law firm, fund complex, or fund servicing organization involving the Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, and related rules, regulations, guidance, and practices.
- Current knowledge of investment company regulations.
Responsibilities
- Draft, review, and prepare registered investment company registration statements for filing with the SEC, including new fund registrations and annual updates.
- Draft, review, and prepare supplements, exchange listing applications, exemptive relief applications, proxy statements, and related SEC filings.
- Communicate with the SEC, other regulatory agencies, and self-regulatory organizations on behalf of fund clients.
- Prepare agendas, resolutions, agreements, policies and procedures, and other materials for investment company board meetings, and prepare related minutes.
- Serve as a resource on regulations and industry developments for fund clients in support of legal counsel.
- Serve as an internal resource for related business lines on investment company regulation and industry developments.
Benefits
- Medical, dental, and vision healthcare coverage.
- Basic term and optional term life insurance.
- Short-term and long-term disability insurance.
- Pregnancy disability and parental leave.
- 401(k) and employer-funded retirement plan.
- Paid vacation of two to five weeks depending on salary grade and tenure.
- Up to 11 paid holiday opportunities.
- Adoption assistance.
- Sick and Safe Leave accruals of one hour for every 30 hours worked, up to 80 hours per calendar year unless otherwise provided by law.
- Incentive and recognition programs.
- Equity stock purchase, 401(k) contribution, and pension, subject to eligibility requirements.
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What This Job Offers
Job Type
Full-time
Career Level
Manager
Education Level
Ph.D. or professional degree
