2 Manager of Regulatory Administration / Mutual Funds / Banking Jobs in Milwaukee, WI

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Manager of Regulatory Administration / Mutual Funds / Banking

RennickBarrett Recruiting, INC

Milwaukee, WI | Full Time

$117k-149k (estimate)

2 Weeks Ago

Manager of Regulatory Administration / Mutual Funds / Banking

RennickBarrett Recruiting, INC

Milwaukee, WI | Full Time

$117k-149k (estimate)

2 Weeks Ago

Manager of Regulatory Administration / Mutual Funds / Banking

$117k-149k (estimate)

Full Time 2 Weeks Ago

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RennickBarrett Recruiting, INC is Hiring a Manager of Regulatory Administration / Mutual Funds / Banking Near Milwaukee, WI

Description:

As the Manager of Regulatory Administration, you will be apart of the Fund Administration Department. You will manage the group that assists our fund clients with 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").
Regulatory Administrators are a key point of direct interaction with clients and need to be able to assist in drafting and filing registration statements with the SEC. Regulatory Administrators may work with our team of attorneys, fund administrators and EDGAR filers to manage multiple complex client and internal projects at any time. The position is expected to have paralegal training or direct related Investment Company Act experience.
Responsibilities:

Hire, train, coach, develop and evaluate team
Establish and maintain consistent policies and procedures to meet client, regulatory and financial requirements
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
Monitoring and reporting on regulatory initiatives promulgated by various regulatory agencies such as the SEC and Financial Industry Regulatory Authority
Developing and implementing department processes and policies
Reporting and confirming regulatory project billing information.
Other duties as assigned

Qualifications:

Bachelor’s Degree or previous related experience may be accepted in lieu of a degree.
Five (5) years’ experience in preparing regulatory filings for mutual funds under the Investment Company Act of 1940
Experience with mutual fund board governance, including working effectively with outside board members