Lead Regulatory Administrator (Remote)

Full-time 2 views
Company UMB Financial Corporation Location Oklahoma City, OK, United States


Legal Staff

Min 4 yrs required


Jun 15, 2022

Sep 28, 2022

May 18, 2022


Lead Regulatory Administrator
The candidate will assist fund clients with the preparation of board minutes, the preparation and maintenance of registration statements, and related filings. Registration statements (including a prospectus) are the legal documents that disclose the strategy, risk, fee, and operational details of a fund to investors, as required by federal securities laws, including primarily the Investment Company Act of 1940 and Securities Act of 1933, and regulated by the U.S. Securities and Exchange Commission ("SEC"). Preparation of regulatory filings required under federal securities laws, including registration statements on Forms N-1A and N-2. Oversee the work of other Regulatory Administrators. Coordination with internal colleagues and external clients to incorporate their changes to large and complex documents. Working with outside counsel 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. Monitor and report on regulatory initiatives promulgated by various regulatory agencies such as the SEC and Financial Industry Regulatory Authority. Develop and implement department processes and policies. Train and mentor new Regulatory Administrators on department policies and procedures. Report and confirm regulatory project billing information. Work directly with internal counsel, external fund counsel, internal fund administrators, financial printers, external auditors, and investment advisers on matters requiring confidentiality.

Qualification and Experience

The candidate must have a Bachelor’s Degree or previous related experience and may be accepted in lieu of a degree. A Paralegal certification is preferred. Must have 4+ years of experience in preparing regulatory filings for mutual funds under the Investment Company Act of 1940. Must have experience with mutual fund board governance, including working effectively with outside board members. Should have strong organizational skills and proofreading skills and interpersonal communication and customer service skills. Should have the demonstrated ability to multi-task and the demonstrated ability to perform effectively in a daily deadline-driven environment. Must demonstrate initiative both independently and within a diverse team or with a diverse range of people. Should have strong computer skills required, including excellent typing skills, and an in-depth understanding of Microsoft Word. Knowledge of SEC and FINRA rules or regulatory filings applicable to mutual funds/ETFs.

Additional info

Job Requisition ID: R-2489

Company info

Hiring Coordinator
UMB Financial Corporation
1217 Agnew
Oklahoma City, OK 73108

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