Senior 1940 Act Regulatory & Governance Manager

U.S. Bank; Los Angeles (CA); Hybrid; USD 148,000 - 175,000; Full time

Benefits offered by this job

Healthcare (medical, dental, vision)

Life insurance

Disability insurance

Parental leave

401(k)

Paid vacation

Sick leave

Paid holidays

Adoption assistance

Job summary

U.S. Bank is seeking a regulatory lawyer to support fund clients by preparing and filing regulatory documents with the SEC. The role involves drafting registrations, amendments, and related filings, and coordinating with regulators and the fund's legal counsel.

Candidates should have a law degree and a license to practice, with eight or more years of related experience in regulatory affairs for investment companies. The role is hybrid with in-office expectations in Los Angeles.

Qualifications

• Law degree is required and must be licensed to practice in the applicable jurisdiction.
• Eight or more years of related experience in regulatory or financial services law.

Responsibilities

• Draft, review and prepare fund registration statements for SEC filings, including new registrations and annual updates.
• Draft, review and prepare, supplements, exchange listing applications, exemptive relief applications, proxy statements and related filings to the SEC.
• Communicate with the SEC and other regulators and self-regulatory organizations on behalf of fund clients.
• Prepare agendas, resolutions, agreements, policies and procedures and minutes for investment company board meetings.
• Serve as a regulatory resource for fund clients and internal business lines on regulation of investment companies.

Education

Law Degree

Job description

U.S. Bank is seeking a regulatory lawyer to support fund clients by preparing and filing regulatory documents with the SEC. The role involves drafting registrations, amendments, and related filings, and coordinating with regulators and the fund's legal counsel.

Candidates should have a law degree and a license to practice, with eight or more years of related experience in regulatory affairs for investment companies. The role is hybrid with in-office expectations in Los Angeles.