Director of Regulatory Fund Operations

UMB Financial Corporation; Milwaukee (WI); On-site; USD 177,000 - 260,000; Full time

Benefits offered by this job

Paid Time Off

401(k) matching program

Annual incentive pay

Medical, dental, vision insurance

Health savings account

Job summary

UMB Financial Corporation is seeking a seasoned regulatory professional to lead a team responsible for preparing regulatory filings for registered funds and to manage board-related duties. The role involves coordinating with fund counsel, CCOs, and auditors, plus oversight of SEC/FINRA compliance and related processes.

The position requires deep experience in fund-style regulatory filings and leadership, with a law degree preferred and a strong attention to detail in a deadline-driven

Qualifications

• 15 years preparing regulatory filings for all fund structures under the Investment Company Act of 1940.
• 5 years of Lead experience in the registered funds industry.
• Bachelor's degree or equivalent background; law degree with SEC/Investment Company Act experience is preferred.

Responsibilities

• Lead a team of Regulatory Administrators in preparing regulatory filings (N-1A, N-2) and related documents.
• Coordinate with fund counsel, board members, outside counsel, CCO and auditors.
• Schedule and run board meetings, prepare agendas, and provide Secretarial services when required.
• Oversee compliance with SEC, FINRA, and GAAP reporting requirements for registered funds.
• Develop and implement departmental processes and policies; manage billing for legal administration.

Skills

Regulatory documentation

Multi-tasking

Deadline-driven work

Interpersonal communication

Initiative

MS Word

Analytical skills

Excel skills

Managerial experience

Client relations

Team collaboration

Education

Bachelor's degree

Law degree with SEC/Investment Company Act experience

Equivalent education/experience

Tools

In-house software

Job description

UMB Financial Corporation is seeking a seasoned regulatory professional to lead a team responsible for preparing regulatory filings for registered funds and to manage board-related duties. The role involves coordinating with fund counsel, CCOs, and auditors, plus oversight of SEC/FINRA compliance and related processes.

The position requires deep experience in fund-style regulatory filings and leadership, with a law degree preferred and a strong attention to detail in a deadline-driven