Regulatory Filing Specialist

U.S. Bank•Milwaukee, WI

1d•Hybrid

About The Position

The Regulatory Filing Specialist prepares, reviews, and assembles regulatory filing documents for submission to the SEC through the EDGAR system. The role coordinates filings including prospectus supplements, proxy materials, shareholder reports, and other federal securities law filings; checks filing packages for completeness, formatting accuracy, and compliance; and monitors deadlines, authorizations, acceptance notices, and filing records. The specialist maintains filing calendars and organized electronic records, supporting documentation, correspondence, project files, milestones, and filing activity reports. The role also prepares billing documentation, tracks project fees, supports invoicing, and responds to requests about filing status, historical filing information, and billing. The specialist contributes to process improvement and filing procedures and supports other Regulatory Administration projects and duties as assigned. The position offers a hybrid/flexible schedule, with an in-office expectation of 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.
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.

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.

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 filing processes.
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 (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
Incentive and recognition programs
Equity stock purchase
Pension