U.S. Bank Experienced 1940 Act Professional - Multiple Locations (Milwaukee, WI, Oshkosh, WI, Glendora, CA or Mesa, AZ) in Oshkosh, Wisconsin
At U.S. Bank, we're passionate about helping customers and the communities where we live and work. The fifth-largest bank in the United States, we’re one of the country's most respected, innovative and successful financial institutions. U.S. Bank is an equal opportunity employer committed to creating a diverse workforce. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, among other factors.
U.S. Bank Global Fund Services is seeking an experienced expert to join the legal group of one of the largest mutual fund and exchange-traded fund services businesses in the country. Responsibilities include, among other things: (1) drafting, reviewing and preparing annual updates to fund registration statements; (2) ensuring timely and accurate regulatory filings, including registration statement amendments, supplements, exchange listing applications, proxy statements and related filings; (3) communicating with the U.S. Securities and Exchange Commission (“SEC”) and other regulatory agencies and self-regulatory organizations (e.g., New York Stock Exchange) on behalf of fund clients; (4) preparing agendas, resolutions, agreements, policies and procedures, and other materials for investment company board meetings and preparing related minutes; (5) serving as a legal resource for clients and internal compliance administrators by providing guidance on issues concerning investment companies, investment advisers, and related entities; and (6) educating clients with respect to legal, regulatory, and industry developments. Ideal candidates will have 5 to 8 years of legal experience in the investment management practice of a law firm, fund complex or fund servicing organization dealing with the Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, and related rules, regulations, guidance and practices.
Licensed to practice in the applicable jurisdiction
Five to eight years of legal experience in the investment management practice of a law firm, fund complex or fund servicing organization
Thorough and current knowledge of mutual fund and exchange-traded fund laws and regulations
Excellent verbal and written communication skills
Ability to manage multiple tasks simultaneously in a deadline driven environment as well as contribute to 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
Strong attention to detail
-Experience managing or supervising the work of other 1940 Act professionals or legal support staff
Take care of yourself and your family with U.S. Bank employee benefits. We know that healthy employees are happy employees, and we believe that work/life balance should be easy to achieve. That's why we share the cost of benefits and offer a variety of programs, resources and support you need to bring your full self to work and stay present and committed to the people who matter most - your family.
Learn all about U.S. Bank employee benefits, including tuition reimbursement, retirement plans and more, by visiting usbank.com/careers (https://www.usbank.com/careers/index.html) .
EEO is the Law
Applicants can learn more about the company’s status as an equal opportunity employer by viewing the federal EEO is the Law (https://www.dol.gov/sites/dolgov/files/ofccp/regs/compliance/posters/pdf/eeopost.pdf) poster.
U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all 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 (https://www.usbank.com/careers/verification-of-eligibility-for-employment.html) .
Our 74,000 employees work across departments to help our millions of retail, business, wealth management, payment, commercial and corporate, and investment services customers across the country and around the world turn their dreams into reality. Our employees are empowered to create change and drive our future, and we pride ourselves on diligently and ethically upholding U.S. Bank’s best-in-class financial record and legacy of more than 150 years in banking. Most importantly, we put people first, cultivating and treasuring meaningful relationships with the customers we serve, the colleagues we support and the communities where we live and work.