Job Details

Senior Consultant, Regulatory – Fund Governance Solutions (fgs)

Company name

Organization Type


Job Type


Date Last Verified

Oct 19, 2021

Valid Through

Feb 01, 2022

Posted on

Sep 14, 2021

Years of Experience

Min 5 yrs required


Chicago, IL, United States

Employment Type



Practice Area
Corporate >> Corporate - Private Equity
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Senior Consultant, Regulatory – Fund Governance Solutions
The candidate's duties include: 1. Responsible for the oversight, review, and update of Northern Trust’s Rule 38a-1 Program as a service provider to registered mutual funds and the testing of key controls therein. 2. Review and production of materials for client Board meetings, including regular, special and organizational meetings. 3. Attend client Board meetings and record meeting minutes; and discuss regulatory, compliance, and other matters. 4. Draft client Board memoranda for issues affecting client or fund complex. 5. Manage corporate governance matters for series trust clients. 6. Prepare and maintain Board and regulatory calendars. 7. Support the preparation, review and editing of investment company regulatory filings. 8. Perform research on issues regarding the Investment Company Act of 1940 and other mutual fund regulations as needed. 9. Assist in client product development initiatives, including drafting and offering documents for new funds and drafting proxy and information statements. 10. Assist on SEC regulatory examinations as necessary. 11. Review the work performed by consultants and other professionals in the group. 12. Serve as resource internally for compliance and related SEC rules and developments. 13. Participate in new business opportunities, including the review and analysis of needs and the design of solutions. 14. Support Sales efforts. Should have excellent oral and written communication skills are required.

Company info

Hiring Coordinator
Northern Trust Corporation
50 South La Salle Street
Suite 1
Chicago, IL 60603

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