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Regulatory Services VP

Req #: 180006748
Location: Boston, MA, US
Job Category: Operations
Job Description:


Investor Services - Regulatory Services – Vice President
About J.P. Morgan Corporate & Investment BankJ.P. Morgan’s Corporate & Investment Bank is a global leader across banking, markets and investor services. The world’s most important corporations, governments and institutions entrust us with their business in more than 100 countries. With $18 trillion of assets under custody and $393 billion in deposits, the Corporate & Investment Bank provides strategic advice, raises capital, manages risk and extends liquidity in markets around the world.

About Regulatory Services.  Our Boston-based Regulatory Services team provides services to all types of
investment company clients, including open-end funds, closed-end funds and exchange traded products.  This individual will work closely with our clients to understand their specific requirements and to leverage our team’s experience to respond to each client’s need for assistance with new product development, board governance, board book production, registration statements, proxy statements, shareholder meetings, regulatory filings and other regulatory matters.
Job Responsibilities
  • Deliver Regulatory Services to assigned clients, including independently managing such client relationships
  • Utilize Investment Company Act of 1940 expertise to support clients with new business initiatives and regulatory questions
  • Coordinate with J.P. Morgan’s business and services teams to facilitate delivery of Regulatory Services and advance client requests or relationship issues
  • Identify and escalate complex client or internal issues as appropriate
  • Keep current with relevant laws, rules and regulations and proactively apply  any developments to the delivery of Regulatory Services tailored to each client’s needs
  • Assist in expanding the Regulatory Services client base by identifying new client opportunities and responding to internal requests to review RPFs and other product documentation
  • Assist with Regulatory Services’ staff training and maintenance of Regulatory Services’ policies and procedures
  • Additional projects such as supporting internal Investor Services teams (e.g., sales, client services, product development and fund administration), making presentations to potential clients, researching and preparing memoranda on general industry issues not related to specific clients and/or participating in seminars and conferences on industry-related topics
  • Travel may be required


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  • Minimum of 10 years providing regulatory services (or legal administration services) to investment companies, including open-end funds, closed-end funds and exchange traded products
  • Bachelors degree required; JD preferred
  • Strong client service orientation
  • Professional and proactive approach to service delivery
  • Advanced analytical, problem solving and project management skills
  • Significant experience with fund accounting and administration operations and subject matter expertise in U.S. securities laws and other laws, rules and regulations
  • Strong presentation skills, including presentations to boards of trustees/directors and senior stakeholders
  • Strong oral and written communications skills; excellent interpersonal skills
  • Experience delivering services digitally (e.g., Diligent and ArcPro)


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