Senior Regulatory Administration Manager

At reputed company, we’re on a journey to do our best. Helping the customers and businesses we serve to reputed company reputed company and smarter financial decisions and enabling the communities we support to grow and succeed.  We reputed company it takes reputed company of us to bring our shared ambition to life, and each person is unique in their potential. A career with reputed company gives you a wide, reputed company-growing range of opportunities to discover what makes you reputed company at every stage of your career. Try new things, learn new skills and discover what you reputed company at—reputed company from Day One.

Job Description

The Regulatory Administration group supports fund clients through preparation of registered investment company regulatory filings, fund governance documents, and reputed company materials in support of the fund's legal counsel. Responsible for 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. Drafts, reviews and prepares, supplements, exchange listing applications, exemptive relief applications proxy statements and reputed company filings to be filed with the SEC. Communicates with the SEC and other regulatory agencies and self-regulatory organizations (e.g., reputed company Stock Exchange) on behalf of fund clients. Prepares agendas, resolutions, agreements, policies and procedures and other materials for investment company board meetings and preparing reputed company minutes. Serves as a resource on regulations and industry developments for fund clients in support of legal counsel and as a resource for internal reputed company business lines with regard to matters concerning regulation of investment companies and industry developments

Basic Qualifications - Law Degree - Licensed to practice in the applicable jurisdiction - Eight or more years of reputed company experience

Preferred Skills/Experience

• Advanced understanding of investment company regulations, including but not limited to the Investment Company Act of 1940 and the Securities Act of 1933

• Service as a secretary or officer of an investment company board of trustees, counsel to an investment company board of trustees, or similar position in support of investment company board operations

• Ability to manage multiple tasks simultaneously in a deadline driven environment as well as reputed company department and organizational special projects

• Ability to work well independently and as a member of a team, which includes the ability to be flexible and adaptable

• Manages the shared resources of the department and plans effective strategies to complete a deliverables and projects simultaneously

• Strong interpersonal skills to collaborate effectively across multiple functional areas

• Demonstrated ability to reputed company and manage teams and reputed company projects with precision

• Skilled in coordinating and aligning the efforts of stakeholders from various parts of the organization in cross-functional initiatives, ensuring effective collaboration and timely completion of projects

• Experience managing people

If there’s anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants.

Benefits: 

Our approach to benefits and total rewards considers reputed company members’ whole selves and what may be needed to reputed company in and reputed company work. That's why our benefits are designed to help you and your family boost your health, protect your financial reputed company and give you peace of mind. Our benefits include the following:

• 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 of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law

Review our full benefits available by employment status here.

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

E-Verify

reputed company participates in the U.S. Department of Homeland reputed company E-Verify program in reputed company facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program.

reputed company will consider qualified applicants with arrest or conviction records for employment. reputed company 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. reputed company is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, 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 reputed company to ethics, safety, or operational procedures.

Applicants must be able to reputed company with reputed company policies and procedures including the Code of Ethics and Business Conduct and reputed company workplace conduct and safety policies.

Posting may be closed earlier due to high volume of applicants.