The Regulatory Admin. Advisor Assoc. is responsible for the day to day review and production of work and services provided by the Fund Regulatory Services Group & Compliance Group within the Corporate and Investment Bank (“CIB”). The group provides SEC registration statement and corporate governance services to mutual fund clients of all types, including open-end and closed-end funds and exchange-traded products. The Regulatory Administration Advisor will be responsible for the following:
· Review and production of materials for client board meetings, including regular, special and organizational meetings
· Review the work performed by paralegals and other professionals in the group
· Management of corporate governance matters for Boston full service clients
· Attend client board meetings and discuss regulatory, compliance and other matters
· Ability to advance client relationship issues within the organization
· Draft client board memoranda for issues affecting client
· Assist in client product development initiatives, including drafting of offering documents for new funds
· Serve as resource internally for compliance and related SEC rules and developments
Minimum education required: Bachelor's degree or equivalent in Business Administration, Finance, Economics, Accounting or related field. Employer will accept a combination of degrees in Business Administration, Finance, Economics, Accounting or related field as meeting the Bachelor's degree requirement.
Qualifications and Experience
-Minimum of 5 years of experience as an attorney/senior paralegal in any of the following organizations:
-Law firm (specializing in Mutual Fund, RIC)
-Mutual fund organization (adviser, distributor)
-Fund Administrator (custodian bank/ transfer agent/service provider)
· Experience working with mutual fund boards, including attending board meetings and delivering presentations and covering matters for board consideration
· Mutual fund regulatory and compliance (i.e., SEC filings, prospectus drafting and filing, preparing Board materials, attending Board meetings, portfolio compliance, etc.)
· General corporate and securities law, such as establishing and maintaining companies (filings and board directors work) and preparing documents and filings for private placements and public offerings
· Mutual fund processing operations knowledge (i.e., transfer agency, fund accounting, custody)
· Fund Accounting and Administration background
· Regulatory exams/inspections: SEC, OCC, Fed, FDIC, etc.
Bar Membership - Any Jurisdiction strongly preferred, but not required.
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