Regulatory Administration Paralegal

U.S. Bank

22h • $23 - $30

About The Position

At U.S. Bank, we’re on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at—all from Day One. Job Description U.S. Bank Global Fund Services (GFS), a subsidiary of U.S. Bank, is one of the nation’s largest providers of services to mutual funds, exchange-traded funds (ETFs), and closed-end funds. The Regulatory Administration Paralegal role is part of the Regulatory Administration group within GFS, which supports fund clients in the preparation, filing, and ongoing maintenance of registration statements and related regulatory filings with the U.S. Securities and Exchange Commission (SEC). Registration statements—including prospectuses—are legally required disclosure documents that provide investors with information regarding a fund’s investment strategy, risks, fees, and operational structure. These filings are governed primarily by the Investment Company Act of 1940 and the Securities Act of 1933 and are regulated by the SEC. Each Regulatory Administration Paralegal serves as a key point of contact for GFS clients and plays an integral role in drafting and filing registration statements with the SEC. Paralegals collaborate closely with a team of GFS Regulatory Administration professionals to manage multiple, complex client and internal projects simultaneously. Successful candidates typically possess paralegal training or prior paralegal experience; experience with mutual funds, ETFs, closed-end funds, and SEC registration processes is strongly preferred.

Requirements

• Paralegal certification from an accredited program, or an equivalent combination of education and relevant experience.

Nice To Haves

• Energetic self-starter with strong organizational and proofreading skills.
• Excellent written and verbal communication skills, with above-average drafting and writing ability.
• Demonstrated resourcefulness and problem-solving skills.
• Ability to prioritize work and manage multiple projects concurrently.
• Strong proficiency with Microsoft Word and Excel, and the ability to quickly adapt to new systems and processes; experience with Wdesk or similar document management systems is a plus.
• Ability to work effectively both independently and as part of a team, often under tight deadlines.
• Strong general computer skills, including advanced typing proficiency.
• Working knowledge of SEC rules and regulatory filings applicable to mutual funds, ETFs, and closed-end funds.
• Associate’s degree required; relevant professional experience may be considered in lieu of a degree.
• Willingness to work occasional evenings or weekends during peak periods.

Responsibilities

• Preparation of regulatory filings required under federal securities laws, including registration statements on Forms N‑1A and/or N‑2 and proxy statements on Schedule 14A or Form N‑14, using Wdesk, a document management and filing system.
• Coordination with internal partners and external clients to incorporate edits and updates to large, complex documents.
• Working with GFS Regulatory Administration professionals to plan and prepare materials for client board and shareholder meetings.
• Coordinating, drafting, and distributing documents, communications, resolutions, board meeting minutes, correspondence, and proxy statements among various parties involved in fund management and oversight.
• Project management of timelines and deadlines, often involving multiple regulatory filings occurring in close succession.
• Assisting with the development and implementation of departmental processes and policies.
• Training and mentoring new paralegals on role expectations, departmental processes, policies, and procedures.
• Tracking, reporting, and confirming project billing information.

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: Entry Level
• Education Level: No Education Listed