Support PDF,DOC,DOCX,TXT,XLS,WPD,HTM,HTML fils up to 5MB
Years of Experience
Date Last Verified
ProfileLead Manager, Regulatory Admin/Filings Duties: Provides oversight for multiple small teams or one large team of Regulatory Administration and Filings staff responsible for reporting and making recommendations around legislation and providing client support. Manages the performance of teams and sets area priorities. Directs and sets priorities around the reporting of legislative issues to provide clients with information needed make regulatory decisions. Manages delivery of prospectuses, proxy statements, and other SEC required filings to clients and provides guidance on regulatory requirements. Works with in-house counsel to ensure filings are created and delivered in accordance to regulations. Sets and provides guidance on processes for performing calculations needed to answer regulatory questions on behalf of clients. Directs team in working with clients accounting firms to exchange client information and complex data needed for regulatory matters in an efficient manner. Recruits, directs, motivates and develops staff, maximizing their individual contribution, their professional growth and their ability to function effectively with their colleagues as a team. Manages multiple small teams or one large team of Regulatory Administration and Filings staff. Contributes to the achievement of a large teams or multiple teams objectives.
Qualification and Experience
Qualifications: Bachelor's Degree or the equivalent combination of education and experience is required. JD Degree from an accredited law school preferred. 5-7 years of total work experience including 0-1 years in management is preferred. Experience in the securities or financial services industry preferred.