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Job Details

Regulatory Administrator/paralegal

Company name
US Bank.

2 yrs required

Mesa, AZ, United States

Employment Type


Posted on
Jan 19, 2022

Valid Through
May 04, 2022

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Regulatory Administrator/Paralegal

Duties: Regulatory Administrators, under general supervision, will handle the following: preparation of regulatory filings required under federal securities laws, including registration statements on Forms N-1A and proxy statements on Schedule 14A or Form N-14, using a content management system. coordination with internal colleagues and external clients to incorporate their changes to large and complex documents. working with GFS Regulatory Administration attorneys 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; and. reporting and confirming regulatory project billing information. Many of these duties involve working directly with internal counsel, external fund counsel, internal compliance administrators, financial printers, external auditors, and investment advisers on matters requiring confidentiality. Each of these duties must be accomplished according to timelines which Regulatory Administrators create, monitor adherence to, and maintain. Regulatory Administrators also work on additional projects/duties as assigned.

Additional Information

Job ID: 2022-0001679

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