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Manager of Regulatory Administration

  • ... Milwaukee, Wiltz, United States
  • ... Full time
  • ... Salary: 69230 per year
  • Posted on: Feb 29, 2024       Expires on: Apr 14, 2024

Manager of Regulatory Administration   

JOB TITLE:

Manager of Regulatory Administration

JOB TYPE:

Full-time

JOB LOCATION:

Milwaukee Wiltz United States

JOB DESCRIPTION:

Full job 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.
How youll be spending your 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
We would be excited to talk with you if:
  • Bachelors 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
Compensation Range:
Minimum: $69,230.
00 - Maximum: $179,300.
00
The posted compensation range on this listing represents UMBs standard for this role, but the actual compensation may vary by geographic location, experience level, and other job-related factors.
In addition, this range does not encompass the full earning potential for this role.
Please see the description of benefits included with this job posting for additional information
UMB offers competitive and varied benefits to eligible associates, such as Paid Time Off; a 401(k) matching program; annual incentive pay; paid holidays; a comprehensive company sponsored benefit plan including medical, dental, vision, and other insurance coverage; health savings, flexible spending, and dependent care accounts; adoption assistance; an employee assistance program; fitness reimbursement; tuition reimbursement; an associate wellbeing program; an associate emergency fund; and various associate banking benefits.
Benefit offerings and eligibility requirements vary.
Are you ready to be part of something more?
You're more than a means to an enda way to help us meet the bottom line.
UMB isn't comprised of workers, but of people who care about their work, one another, and their community.
Expect more than the status quo.
At UMB, you can expect more heart.
You'll be valued for exactly who you are and encouraged to support causes you care about.
Expect more trust.
We want you to do the right thing, no matter what.
And, expect more opportunities.
UMBers are known for having multiple careers here and having their voices heard.
UMB and its affiliates are committed to inclusion and diversity and provide employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex (including gender, pregnancy, sexual orientation, and gender identity), national origin, age, disability, military service, veteran status, genetic information, or any other status protected by applicable federal, state, or local law.
If you need accommodation for any part of the employment process because of a disability, please send an e-mail to
talentacquisition@umb.
com
to let us know the nature of your request.
If you are a California resident, please visit our
Privacy Notice for California Job Candidates
to understand how we collect and use your personal information when you apply for employment with UMB.

Position Details

POSTED:

Feb 29, 2024

EMPLOYMENT:

Full-time

SALARY:

69230 per year

SNAPRECRUIT ID:

S-1709420057-bdfe133718b6c98e6ce7149b12adb853

LOCATION:

Wiltz United States

CITY:

Milwaukee

Job Origin:

jpick2

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Full job 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.
How youll be spending your 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
We would be excited to talk with you if:
  • Bachelors 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
Compensation Range:
Minimum: $69,230.00 - Maximum: $179,300.00
The posted compensation range on this listing represents UMBs standard for this role, but the actual compensation may vary by geographic location, experience level, and other job-related factors. In addition, this range does not encompass the full earning potential for this role. Please see the description of benefits included with this job posting for additional information
UMB offers competitive and varied benefits to eligible associates, such as Paid Time Off; a 401(k) matching program; annual incentive pay; paid holidays; a comprehensive company sponsored benefit plan including medical, dental, vision, and other insurance coverage; health savings, flexible spending, and dependent care accounts; adoption assistance; an employee assistance program; fitness reimbursement; tuition reimbursement; an associate wellbeing program; an associate emergency fund; and various associate banking benefits. Benefit offerings and eligibility requirements vary.
Are you ready to be part of something more?
You're more than a means to an enda way to help us meet the bottom line. UMB isn't comprised of workers, but of people who care about their work, one another, and their community. Expect more than the status quo. At UMB, you can expect more heart. You'll be valued for exactly who you are and encouraged to support causes you care about. Expect more trust. We want you to do the right thing, no matter what. And, expect more opportunities. UMBers are known for having multiple careers here and having their voices heard.
UMB and its affiliates are committed to inclusion and diversity and provide employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex (including gender, pregnancy, sexual orientation, and gender identity), national origin, age, disability, military service, veteran status, genetic information, or any other status protected by applicable federal, state, or local law. If you need accommodation for any part of the employment process because of a disability, please send an e-mail to
talentacquisition@umb.com
to let us know the nature of your request.
If you are a California resident, please visit our
Privacy Notice for California Job Candidates
to understand how we collect and use your personal information when you apply for employment with UMB.

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