1940 Act Regulatory Administration Manager

Responsibilities

• The Regulatory Administration group supports fund clients through preparation of registered investment company regulatory filings, fund governance documents, and oversight materials in support of the fund's legal counsel.
• Responsible for drafting, reviewing and preparing fund registration statements to be filed with the U.S. Securities and Exchange Commission (SEC), including new fund registrations and annual updates.
• Drafts, reviews and prepares supplements, exchange listing applications, exemptive relief applications, proxy statements and related filings to be filed with the SEC.
• Communicates with the 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 prepares related minutes.
• Serves as a resource on regulations and industry developments for fund customers in support of legal counsel and as a resource for internal related business lines with regard to matters concerning regulation of investment companies and industry developments.

Requirements

• Law Degree
• Licensed to practice in the applicable jurisdiction
• Eight or more years of related experience

Skills

• Demonstrated knowledge of and experience applying the Investment Company Act of 1940, including its impact on registered investment companies and related regulatory requirements