1940 Act Regulatory Administrator (jd)

Full-time 8 views
Company U.S. Bank. Location Milwaukee, WI, United States



Min 6 yrs required


Aug 26, 2022

May 13, 2022


1940 Act Regulatory Administrator (JD)
The candidate drafts, reviews, and prepares registration statements for new products or annual updates to fund registration statements. Ensures timely and accurate regulatory filings, including registration statement amendments, supplements, exchange listing applications, proxy statements, and related filings. Communicates with the U.S. Securities and Exchange Commission (“SEC”) and other regulatory agencies and self-regulatory organizations (e.g., New York Stock Exchange) on behalf of fund clients. Prepares agendas, resolutions, agreements, policies and procedures, and other materials for investment company board meetings and preparing related minutes. Serves as a legal resource for clients and internal compliance administrators by providing guidance on issues concerning investment companies, investment advisers, and related entities. Educates clients with respect to legal, regulatory, and industry developments.

Qualification and Experience

The candidate should have a law degree. Licensed to practice in the applicable jurisdiction. Should have 6 years of legal experience in the investment management practice of a law firm, fund complex or fund servicing organization. and 4 years of experience in the investment management practice of a law firm, fund complex, fund servicing organization, or applicable regulatory agency dealing with the Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, and related rules, regulations, guidance, and practices. Thorough and current knowledge of mutual fund and exchange-traded fund laws and regulations. Excellent verbal and written communication skills. Ability to manage multiple tasks simultaneously in a deadline-driven environment as well as contribute to department and organizational special projects. Ability to work well independently and as a member of a team, which includes the ability to be flexible and adaptable. Strong attention to detail.

Additional info

ID: 2022-0008054.

Company info

Hiring Coordinator
U.S. Bank.
777 E Wisconsin Ave
Milwaukee, WI 53259

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