Paralegal/regulatory Administrator

Full-time 5 views
Company U.S. Bank. Location Glendora, CA, United States


Legal Staff

4-8 yrs required


Jul 01, 2022

Oct 14, 2022

Apr 19, 2022


Paralegal/Regulatory Administrator
The candidate will handle preparation of regulatory filings required under federal securities laws, including registration statements on Forms N-1A and proxy statements on Schedule 14A or Form N-14, using a content management system, coordination with internal colleagues and external clients to incorporate their changes to large and complex documents, working with GFS Regulatory Administration attorneys to plan and prepare for client board and shareholder meetings, coordinating, drafting, and distributing legal documents, communications, resolutions, board meeting minutes, correspondence, and proxy statements among a variety of parties, project management for deadlines that may require a variety of different filings close in time to each other, monitoring and reporting on regulatory initiatives promulgated by various regulatory agencies such as the SEC and Financial Industry Regulatory Authority, developing and implementing department processes and policies, training and mentoring new Regulatory Administrators on department policies and procedures, and reporting and confirming regulatory project billing information. Many of these duties involve working directly with internal counsel, external fund counsel, internal compliance administrators, financial printers, external auditors, and investment advisers on matters requiring confidentiality. Each of these duties must be accomplished according to timelines which Regulatory Administrators create, monitor adherence to, and maintain. Regulatory Administrators also work on additional projects/duties as assigned.

Qualification and Experience

The candidate should have a paralegal certification from an accredited program or related experience. An associate’s degree is required, though the previous related experience may be accepted in lieu of a degree. Should have 4-8 years of relevant experience in the financial services industry, mutual funds, and/or ETFs. Energetic self-starter with strong organizational and proofreading skills, excellent communication and interpersonal skills (both oral and written), and above-average drafting/writing skills. Resourcefulness in problem-solving. Ability to establish priorities and work concurrently on a variety of projects. Proven ability to adapt to new software and processes. The ability to work well independently and as part of a group, often within tight time constraints. Strong computer skills required, including excellent typing skills, and in-depth understanding of Microsoft Word. Should preferably have 2+ years of legal environment experience, ideally in a mutual fund, financial services, or law firm environment with exposure to securities matters. Knowledge of SEC and FINRA rules or regulatory filings applicable to mutual funds/ETFs is desired.

Additional info

Requisition id: 2022-0006647.

Company info

Hiring Coordinator
U.S. Bank.
801 S Grand Ave
Glendora, CA 91740

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