Head of Regulatory & Legal Administration

UMB Bank; Milwaukee (WI); Vor Ort; USD 177.000 - 260.000; Vollzeit

Benefits dieser Stelle

401(k) matching program

Paid time off

Tuition reimbursement

Health insurance

Employee assistance program

Zusammenfassung

UMB Bank is seeking a senior Regulatory Administrator to lead a team preparing registration statements and related filings for registered funds. You will coordinate with fund counsel, CCO, auditors, and board members, ensuring accuracy and confidentiality of complex documents.

The role involves scheduling and running client board meetings, guiding compliance with SEC/FINRA rules, and mentoring staff to meet deadlines in a fast-paced environment.

Qualifikationen

• 15 years preparing regulatory filings for 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.
• Knowledge of SEC and FINRA rules applicable to registered funds.

Aufgaben

• Lead a team responsible for preparation of registration statements and related filings.
• Coordinate with fund counsel, CCO, auditors, and board members.
• Schedule and run client board meetings; prepare agendas.
• Oversee document quality and confidentiality.

Kenntnisse

Regulatory documentation

Multi-tasking

Deadline driven

Client service

Microsoft Word

Advanced Excel

Team management

Communication skills

Ausbildung

Bachelor's degree

Law degree

Tools

EDGAR filings software

Jobbeschreibung

UMB Bank is seeking a senior Regulatory Administrator to lead a team preparing registration statements and related filings for registered funds. You will coordinate with fund counsel, CCO, auditors, and board members, ensuring accuracy and confidentiality of complex documents.

The role involves scheduling and running client board meetings, guiding compliance with SEC/FINRA rules, and mentoring staff to meet deadlines in a fast-paced environment.