1940 Act Regulatory Administration Manager

U.S. Bank•Boston, MA

4d•$148,495 - $174,700•Hybrid

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 manager is responsible for drafting, reviewing, and preparing fund registration statements for filing with the U.S. Securities and Exchange Commission (SEC), including new fund registrations and annual updates. The role also prepares 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 role serves as a resource on regulations and industry developments for fund customers in support of legal counsel and for internal related business lines. It also manages shared departmental resources, leads teams and complex projects, and coordinates cross-functional stakeholders. The schedule is hybrid/flexible, with an in-office expectation of three or more days per week and flexibility to work outside the office for the remaining days.

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 and lead department and organizational special projects.
Ability to work independently and as a team member, with flexibility and adaptability.
Ability to manage shared departmental resources and plan effective strategies for completing deliverables and projects simultaneously.
Strong interpersonal skills for effective collaboration across multiple functional areas.
Demonstrated ability to lead and manage teams and complex projects with precision.
Skill in coordinating and aligning stakeholders across the organization for cross-functional initiatives.
Experience managing people.

Responsibilities

Support fund clients through preparation of registered investment company regulatory filings, fund governance documents, and oversight materials in support of fund legal counsel.
Draft, review, and prepare fund registration statements for SEC filing, 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 and other regulatory agencies and self-regulatory organizations, such as the New York Stock Exchange, on behalf of fund clients.
Prepare agendas, resolutions, agreements, policies and procedures, and other investment company board meeting materials, and prepare related minutes.
Serve as a resource on regulations and industry developments for fund customers in support of legal counsel and for internal related business lines.
Manage shared departmental resources and plan strategies to complete multiple deliverables and projects.
Lead and manage teams, complex projects, and cross-functional initiatives, coordinating stakeholders to support collaboration and timely completion.

Benefits

Healthcare coverage, including medical, dental, and vision.
Basic term and optional term life insurance.
Short-term and long-term disability coverage.
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.