Apply Now    

Associate, Regulatory Administration Advisor

Req #: 170037083
Location: Boston, MA, US
Job Category: Compliance
Potential Referral Amount: 5000 US Dollar (USD)

The Regulatory Admin. Advisor Assoc. is responsible for the day to day review and production of work and services provided by the Fund Regulatory Services Group & Compliance Group within the Corporate and Investment Bank (“CIB”).  The group provides SEC registration statement and corporate governance services to mutual fund clients of all types, including open-end and closed-end funds and exchange-traded products.  The Regulatory Administration Advisor will be responsible for the following:

·         Review and production of materials for client board meetings, including regular, special and organizational meetings

·         Review the work performed by paralegals and other professionals in the group

·          Management of corporate governance matters for Boston full service clients

·         Attend client board meetings and discuss regulatory, compliance and other matters

·         Ability to advance client relationship issues within the organization

·         Draft client board memoranda for issues affecting client

·         Assist in client product development initiatives, including drafting of offering documents for new funds

·         Serve as resource internally for compliance and related SEC rules and developments

 

Minimum education required:  Bachelor's degree or equivalent in Business Administration, Finance, Economics, Accounting or related field. Employer will accept a combination of degrees in Business Administration, Finance, Economics, Accounting or related field as meeting the Bachelor's degree requirement.

 

Qualifications and Experience

 

-Minimum of 5 years of experience as an attorney/senior paralegal in any of the following organizations:

-Law firm (specializing in Mutual Fund, RIC)

-Mutual fund organization (adviser, distributor)

-Fund Administrator (custodian bank/ transfer agent/service provider)

 

·         Experience working with mutual fund boards, including attending board meetings and delivering presentations and covering matters for board consideration

·         Mutual fund regulatory and compliance (i.e., SEC filings, prospectus drafting and filing, preparing Board materials, attending Board meetings, portfolio compliance, etc.)

·         General corporate and securities law, such as establishing and maintaining companies (filings and board directors work) and preparing documents and filings for private placements and public offerings

·        Mutual fund processing operations knowledge (i.e., transfer agency, fund accounting, custody)

·         Fund Accounting and Administration background

·         Regulatory exams/inspections: SEC, OCC, Fed, FDIC, etc.

 

Bar Membership - Any Jurisdiction strongly preferred, but not required.

 

 

 

Apply Now    

Join our Talent Community

Not ready to apply? Leave your information with us and we will keep you up to date with new career opportunities.

Things to note

Sign in to our application system to continue your job search or update your profile.

Current employees sign in here. Contractors sign in here.

Any information you provide is confidential and will only be viewed by our recruiters in an effort to fill open positions. In addition, the information you provide is subject to our privacy policy practices.

Please note that J.P. Morgan will not accept unsolicited approaches or speculative CVs, nor will J.P. Morgan be responsible for any related fees, from Third Party Firms who are not preferred suppliers.

The firm invites all interested and qualified candidates to apply for employment opportunities.

Need disability related assistance?

If you are a US or Canadian applicant with a disability who is unable to use our online tools to search and apply for jobs, please click here.

Important links

Click here to view the "EEO is the Law" poster.

Click here to view the "EEO is the Law" supplemental poster.

Click here to view our U.S. Pay Transparency Policy.

JPMorgan Chase is an equal opportunity and affirmative action employer Disability/Veteran.