Manager of Regulatory Administration / Mutual Funds / Banking
RennickBarrett Recruiting
- Milwaukee, WI
- Permanent
- Full-time
- 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
- 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