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Job Details

Lead Regulatory Administrator

Company name
UMB Financial Corporation

4 yrs required

Oklahoma City, OK, United States

Employment Type
Full-Time,Work From Home


Posted on
Sep 20, 2022

Valid Through
Jan 03, 2023

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Lead Regulatory Administrator

Duties: 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 . Training and mentoring new Regulatory Administrators on department policies and procedures . Reporting and confirming regulatory project billing information.

Additional Information

Job requisition ID: R-1820

Company info

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