Lead Regulatory Filing Specialist, Funds

Ambeacon; Irving (TX); Hybrid; USD 70,000 - 95,000; Full time

Job summary

American Beacon Partners is seeking a Regulatory Filing Specialist in Irving, TX to manage the preparation, review and filing of registration statements for funds, ensuring regulatory compliance. The role requires collaboration with service providers and ongoing risk updates.

The ideal candidate will have 3+ years in investments or financial services, knowledge of the 1940 Act, and experience with Form N-1A/N-14/N-2, EDGAR Next, and related systems.

Qualifications

• Three or more years related work experience in investments, securities, or financial services.
• Knowledge of the Investment Company Act of 1940 and federal securities laws as they apply to mutual funds or investment advisers
• Experience with Mutual Funds and ETF filings, including Form N-1A, Form N-14, and Form N-2
• Proficiency with EDGAR Next filing system
• Familiarity with Broadridge PROfile or similar systems
• Familiarity with DocuBuilder software or other CMS such as DFIN ArcPro
• Excellent analytical, written, and oral communication skills
• Superior interpersonal skills and ability to work with all levels of management and support staff
• College degree or equivalent work experience

Responsibilities

• Assist with the preparation, review and filing of registration statements and related documentation for the Funds to ensure accuracy and compliance with regulatory guidelines
• Collaborates well with service providers
• Assists with annual investment risk update process
• Identifies areas where process improvement can occur
• Act as “lead” Regulatory Filing Specialist for assigned FYEs
• Review updates to various Fund agreements, as necessary
• Ensures agreements are appropriately included in the relevant Form N-1A Part C (wrapper)
• Assists with special projects, as necessary, including research of applicable rules and regulations
• Review documents from Fund Board meetings and ensure appropriate modifications are made to filings and/or procedures

Skills

Analytical skills

Written communication

Oral communication

Interpersonal skills

Organizational skills

Multitasking

Education

Bachelor's degree

Tools

EDGAR Next filing system

Broadridge PROfile

DocuBuilder

Job description

American Beacon Partners is seeking a Regulatory Filing Specialist in Irving, TX to manage the preparation, review and filing of registration statements for funds, ensuring regulatory compliance. The role requires collaboration with service providers and ongoing risk updates.

The ideal candidate will have 3+ years in investments or financial services, knowledge of the 1940 Act, and experience with Form N-1A/N-14/N-2, EDGAR Next, and related systems.