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About the Role

The Regulatory Administration group supports fund clients through preparation of regulatory filings, fund governance documents, and oversight materials. This role is responsible for drafting, reviewing, and preparing fund registration statements for the SEC, including new fund registrations and annual updates. The position also involves communicating with regulatory agencies and preparing materials for investment company board meetings.

Responsibilities

Drafting, reviewing, and preparing fund registration statements to be filed with the U.S. Securities and Exchange Commission (SEC), including new fund registrations and annual updates.
Drafting, reviewing, and preparing supplements, exchange listing applications, exemptive relief applications, proxy statements, and related filings to be filed with the SEC.
Communicating with the SEC and other regulatory agencies and self-regulatory organizations on behalf of fund clients.
Preparing agendas, resolutions, agreements, policies, and procedures for investment company board meetings.
Serving as a resource on regulations and industry developments for fund customers and internal business lines.

Requirements

Law Degree
Licensed to practice in the applicable jurisdiction
Eight or more years of related experience
Ability to manage multiple tasks simultaneously in a deadline-driven environment
Ability to lead department and organizational special projects
Ability to work well independently and as a member of a team
Ability to be flexible and adaptable
Manages the shared resources of the department and plans effective strategies to complete deliverables and projects simultaneously
Demonstrated ability to lead and manage teams and complex projects with precision
Skilled in coordinating and aligning the efforts of stakeholders from various parts of the organization in cross-functional initiatives
Experience managing people
Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies.

Skills

Demonstrated knowledge of and experience applying the Investment Company Act of 1940, including its impact on registered investment companies and related regulatory requirements
Strong interpersonal skills to collaborate effectively across multiple functional areas

Location

U.S. Bank

Work Type

Hybrid/flexible schedule (3 or more days in office per week)

Experience Level

Eight or more years of related experience

Education Level

Law Degree

Salary/Compensations

$148,495.00 - $174,700.00

Benefits

Healthcare (medical, dental, vision)
Basic term and optional term life insurance
Short-term and long-term disability
Pregnancy disability and parental leave
401(k) and employer-funded retirement plan
Paid vacation (from two to five weeks depending on salary grade and tenure)
Up to 11 paid holiday opportunities
Adoption assistance
Sick and Safe Leave accruals
Incentive and recognition programs
Equity stock purchase
Pension

About the Company

At U.S. Bank, we’re on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed.
A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career.
U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program.
U.S. Bank will consider qualified applicants with arrest or conviction records for employment.
U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance.
U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA).
Certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.

Equal Opportunity

U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.