Regulatory Filing Specialist
About The Position
The Regulatory Filing Specialist prepares, reviews, and assembles regulatory filing documents for submission to the SEC through EDGAR. The role coordinates filings such as prospectus supplements, proxy materials, shareholder reports, and other federal securities law filings; checks filing packages for completeness, formatting accuracy, and compliance; and monitors filing calendars and deadlines to support timely submissions. The specialist coordinates EDGAR filing authorizations, monitors SEC acceptance notices, and maintains records of submissions and effectiveness dates. The position also maintains electronic filing records, supporting documentation, correspondence, and project files; tracks project milestones and filing activity; prepares billing documentation; and manages fee tracking, invoice support, and other administrative records for Regulatory Administration services. It responds to requests about filing status, historical filing information, and project billing, and supports process improvements, filing procedures, and other Regulatory Administration projects and duties as assigned. The role offers 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 for the other days.
Requirements
- High school diploma or equivalent.
- Typically four to five years of experience in administrative and support staff activities.
Nice To Haves
- Experience preparing or coordinating SEC filings through EDGAR.
- Knowledge of the Investment Company Act of 1940, Securities Act of 1933, or other financial services regulatory frameworks.
- Experience supporting mutual funds, ETFs, investment advisers, broker-dealers, or other financial institutions.
- Strong attention to detail and commitment to producing accurate work products.
- Excellent verbal and written communication skills.
- Strong proficiency with Microsoft Office applications, including Word, Excel, Outlook, and Teams.
- Ability to manage multiple priorities simultaneously in a deadline-driven environment.
- Ability to work independently while collaborating effectively with internal and external stakeholders.
- Experience maintaining records, tracking project metrics, and supporting billing processes.
Responsibilities
- Prepare, review, and assemble regulatory filing documents for submission to the SEC through EDGAR.
- Coordinate prospectus supplement, proxy material, shareholder report, and other federal securities law filings.
- Review filing packages for completeness, formatting accuracy, and compliance with filing requirements.
- Maintain filing calendars and monitor deadlines to support timely submissions.
- Coordinate EDGAR filing authorizations and maintain related documentation and approvals.
- Monitor SEC filing acceptance notices and maintain records of submissions and effectiveness dates.
- Maintain organized electronic filing records, supporting documentation, correspondence, and project files in accordance with departmental procedures.
- Track project milestones and maintain reporting related to filing activity.
- Prepare billing documentation and supporting records for regulatory filing projects.
- Manage project fee tracking, invoice support, and administrative records related to Regulatory Administration services.
- Respond to internal and external requests regarding filing status, historical filing information, and project billing details.
- Assist with process improvement initiatives and development of filing procedures and documentation.
- Support additional Regulatory Administration projects and duties as assigned.
Benefits
- Healthcare, including medical, dental, and 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 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
Mid Level
Education Level
High school or GED
