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Manager of Regulatory Administration / Mutual Funds / Banking

Milwaukee, WI · Banking/Loans
As the Manager of Regulatory Administration, you will be apart of the Fund Administration Department.  You will manage the group that assists our fund clients with preparation of board minutes, the preparation and maintenance of registration statements and related filings.

Registration statements (including a prospectus) are the legal documents that disclose the strategy, risk, fee, and operational details of a fund to investors, as required by federal securities laws, including primarily the Investment Company Act of 1940 and Securities Act of 1933, and regulated by the U.S. Securities and Exchange Commission ("SEC").

 Regulatory Administrators are a key point of direct interaction with clients and need to be able to assist in drafting and filing registration statements with the SEC. Regulatory Administrators may work with our team of attorneys, fund administrators and EDGAR filers to manage multiple complex client and internal projects at any time. The position is expected to have paralegal training or direct related Investment Company Act experience.

  • Hire, train, coach, develop and evaluate team
  • Establish and maintain consistent policies and procedures to meet client, regulatory and financial requirements
  • 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
  • Reporting and confirming regulatory project billing information.
  • Other duties as assigned
  • Bachelor’s Degree or previous related experience may be accepted in lieu of a degree.
  • Five (5) years’ experience in preparing regulatory filings for mutual funds under the Investment Company Act of 1940
  • Experience with mutual fund board governance, including working effectively with outside board members

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