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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.




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