1940 Act Regulatory Administration Manager

U.S. Bank • Boston, MA

3d • $139,230 - $163,800 • Hybrid

About The Position

The Regulatory Administration group supports fund clients through preparation of registered investment company regulatory filings, fund governance documents, and oversight materials in support of the fund's legal counsel. Responsible for drafting, reviewing and preparing fund registration statements to be filed with the U.S. Securities and Exchange Commission (SEC), including new fund registrations and annual updates. Drafts, reviews and prepares, supplements, exchange listing applications, exemptive relief applications proxy statements and related filings to be filed with the SEC. Communicates with the SEC and other regulatory agencies and self-regulatory organizations (e.g., New York Stock Exchange) on behalf of fund clients. Prepares agendas, resolutions, agreements, policies and procedures and other materials for investment company board meetings and preparing related minutes. Serves as a resource on regulations and industry developments for fund customers in support of legal counsel and as a resource for internal related business lines with regard to matters concerning regulation of investment companies and industry developments.

Requirements

• Law Degree
• Licensed to practice in the applicable jurisdiction
• Eight or more years of related experience

Nice To Haves

• Demonstrated knowledge of and experience applying the Investment Company Act of 1940, including its impact on registered investment companies and related regulatory requirements
• Ability to manage multiple tasks simultaneously in a deadline driven environment
• Ability to work well independently and as a member of a team, which includes the ability to be flexible and adaptable
• Strong interpersonal skills to collaborate effectively across multiple functional areas
• Demonstrated ability to lead and manage teams and complex projects with precision

Responsibilities

• Drafting, reviewing and preparing fund registration statements to be filed with the U.S. Securities and Exchange Commission (SEC), including new fund registrations and annual updates.
• Drafting, reviewing and preparing, supplements, exchange listing applications, exemptive relief applications proxy statements and related filings to be filed with the SEC.
• Communicating with the SEC and other regulatory agencies and self-regulatory organizations (e.g., New York Stock Exchange) on behalf of fund clients.
• Preparing agendas, resolutions, agreements, policies and procedures and other materials for investment company board meetings and preparing related minutes.
• Serving as a resource on regulations and industry developments for fund customers in support of legal counsel and as a resource for internal related business lines with regard to matters concerning regulation of investment companies and industry developments.
• Manage department and organizational special projects.
• Manage the shared resources of the department and plan effective strategies to complete deliverables and projects simultaneously.
• Coordinating and aligning the efforts of stakeholders from various parts of the organization in cross-functional initiatives, ensuring effective collaboration and timely completion of projects.
• Managing people.

Benefits

• Healthcare (medical, dental, vision)
• Basic term and optional term life insurance
• Short-term and long-term disability
• Pregnancy disability and parental leave
• 401(k) and employer-funded retirement plan
• Paid vacation (from 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 worked, up to 80 hours per calendar year unless otherwise provided by law

What This Job Offers

• Job Type: Full-time
• Career Level: Manager
• Education Level: Ph.D. or professional degree