U.S. Bank 1940 Act Regulatory Administrator - Multiple Locations in Phoenix, Arizona
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.
Job DescriptionU.S. Bank Global Fund Services is seeking an experienced 1940 Act attorney to join the regulatory administration group of one of the largest mutual fund and exchange-traded fund services businesses in the country. Ideal candidates will have at least eight years of 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. The Administrator for the 1940 Regulatory Act role will have the following responsibilities including, but not limited to: • Drafts, reviews, and prepares registration statements for new products or annual updates to fund registration statements; • Ensures timely and accurate regulatory filings, including registration statement amendments, supplements, exchange listing applications, proxy statements, and related filings; • Communicates 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; • Prepares agendas, resolutions, agreements, policies and procedures, and other materials for investment company board meetings and preparing related minutes; • Serves as a legal resource for clients and internal compliance administrators by providing guidance on issues concerning investment companies, investment advisers, and related entities; and • Educates clients with respect to legal, regulatory, and industry developments.
Basic Qualifications - Law degree - Eight or more years of regulatory or legal experience in a law firm, mutual fund complex, or mutual fund servicing organization
Preferred Skills/Experience - 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 attorneys or legal support staff - Experience working with investment company boards
Benefits: 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.
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 poster.
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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.