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Lead Regulatory Administrator - Fund Services (Remote)

Company: UMB Bank
Location: Des Moines
Posted on: June 24, 2022

Job Description:

**_Be part of something more._**A majority of our time is spent "at work." We believe that time most meaningful when it's spent around people who care about you and who challenge you. We hire people who know how to make good decisions, because we won't be constantly looking over your shoulder-you'll be empowered to do what's right for our customers. Most importantly, we're a partner. We partner with our associates to help them thrive personally and professionally. We partner with our communities and the organizations that support them. And, we partner with our customers to create an experience they won't find elsewhere.**_Are you ready to be part of something more?_**You're more than a means to an end-a way to help us meet the bottom line. UMB isn't comprised of workers, but of people who care about their work, one another and their community. Expect more than the status quo. At UMB, you can expect _more heart_ . You'll be valued for exactly who you are and encouraged to support causes you care about. Expect _more trust_ . We want you to do the right thing, no matter what. And, expect _more opportunity_ . UMBers are known for having multiple careers here and having their voices heard.**Duties & Responsibilities**The Regulatory Administrator position is part of the Fund Administration Department. The position will assist our fund clients with preparation of board minutes, the preparation and maintenance of registration statements and related filings. Registration statements (including a prospectus) are the legal documents that disclose the strategy, risk, fee, and operational details of a fund to investors, as required by federal securities laws, including primarily the Investment Company Act of 1940 and Securities Act of 1933, and regulated by the U.S. Securities and Exchange Commission ("SEC").Regulatory Administrators are a key point of direct interaction with clients and need to be able to assist in drafting and filing registration statements with the SEC. Regulatory Administrators may work with our team of attorneys, fund administrators and EDGAR filers to manage multiple complex client and internal projects at any time. The position is expected to have paralegal training or direct related Investment Company Act experience.Regulatory Administrators, under general supervision, will handle the following:+ Preparation of regulatory filings required under federal securities laws, including registration statements on Forms N-1A and N-2+ Oversee the work of other Regulatory Administrators+ Coordination with internal colleagues and external clients to incorporate their changes to large and complex documents+ Working with outside counsel to plan and prepare for client board and shareholder meetings+ Coordinating, drafting, and distributing legal documents, communications, resolutions, board meeting minutes, correspondence, and proxy statements among a variety of parties+ Project management for deadlines that may require a variety of different filings close in time to each other+ Monitoring and reporting on regulatory initiatives promulgated by various regulatory agencies such as the SEC and Financial Industry Regulatory Authority+ Developing and implementing department processes and policies+ Training and mentoring new Regulatory Administrators on department policies and procedures+ Reporting and confirming regulatory project billing information.Many of these duties involve working directly with internal counsel, external fund counsel, internal fund administrators, financial printers, external auditors, and investment advisers on matters requiring confidentiality. Each of these duties must be accomplished according to timelines which Regulatory Administrators create, monitor adherence to, and maintain. Regulatory Administrators also work on additional projects/duties as assigned.**Knowledge & Skills:**MINIMUM:+ Strong organizational skills and proofreading skills.+ Demonstrated ability to multi-task+ Demonstrated ability to perform effectively in a daily deadline driven environment+ Interpersonal communication and customer service skills+ Demonstrate initiative both independently and within a diverse team or with a diverse range of people+ Strong computer skills required, including excellent typing skills, and in-depth understanding of Microsoft Word+ Knowledge of SEC and FINRA rules or regulatory filings applicable to mutual funds/ETFs**Requirements:**_MINIMUM_ _:_+ Bachelor's Degree or previous related experience may be accepted in lieu of a degree.+ Four (4) years' experience in preparing regulatory filings for mutual funds under the Investment Company Act of 1940+ Experience with mutual fund board governance, including working effectively with outside board members_PREFERRED_ _:_+ Para-Legal certification**Work Environment:**Typical office environment. Evenings and weekends may be required during peak periods.UMB and its affiliates are committed to inclusion and diversity and provide employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex (including gender, pregnancy, sexual orientation, and gender identity), national origin, age, disability, military service, veteran status, genetic information, or any other status protected by applicable federal, state, or local law. If you need accommodation for any part of the employment process because of a disability, please send an e-mail to or call 816-860-7972 to let us know the nature of your request.

Keywords: UMB Bank, Des Moines , Lead Regulatory Administrator - Fund Services (Remote), Other , Des Moines, Iowa

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