1940 Act Regulatory Administration Manager

U.S. Bank

. Support fund clients through preparation of registered investment company regulatory filings, fund governance documents, and oversight materials for fund legal counsel .

Posted 11/5/2026full-timeUnited StatesSeniorLead💰 $175,000 - $200,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in regulatory compliance and fund governance, with a strong focus on the Investment Company Act of 1940. Proven ability to lead teams and manage complex projects while effectively communicating with regulatory agencies.

Highest-signal resume keywords

Law DegreeLicensed To PracticeInvestment Company Act Of 1940Team LeadershipRegulatory Filings

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Fund Registration StatementsSEC FilingsDrafting Legal DocumentsRegulatory ComplianceProject Management

Soft Skills

Interpersonal SkillsCollaborationFlexibilityAdaptabilityIndependent Work

Industry Keywords

Registered Investment CompaniesFund GovernanceBoard Meeting PreparationU.S. Securities And Exchange CommissionExemptive Relief Applications

About the role

Key responsibilities & impact

Support fund clients through preparation of registered investment company regulatory filings, fund governance documents, and oversight materials for fund legal counsel
Draft, review, and prepare fund registration statements for filing with the U.S. Securities and Exchange Commission, including new fund registrations and annual updates
Draft, review, and prepare supplements, exchange listing applications, exemptive relief applications, proxy statements, and related SEC filings
Communicate with the SEC, regulatory agencies, and self-regulatory organizations on behalf of fund clients
Prepare agendas, resolutions, agreements, policies and procedures, and other materials for investment company board meetings
Prepare related board meeting minutes
Serve as a resource on regulations and industry developments for fund customers and internal business lines
Manage department shared resources and coordinate deliverables and projects
Lead teams, complex projects, and cross-functional initiatives

Requirements

What you’ll need

Law Degree
Licensed to practice in the applicable jurisdiction
Eight or more years of related experience
Demonstrated knowledge of and experience applying the Investment Company Act of 1940, including its impact on registered investment companies and related regulatory requirements
Ability to manage multiple tasks simultaneously in a deadline driven environment and lead department and organizational special projects
Ability to work independently and as a member of a team
Flexibility and adaptability
Ability to manage shared department resources and plan strategies to complete deliverables and projects simultaneously
Strong interpersonal skills to collaborate across multiple functional areas
Demonstrated ability to lead and manage teams and complex projects
Ability to coordinate and align stakeholders in cross-functional initiatives
Experience managing people
Ability to comply with U.S. Bank policies and procedures, including the Code of Ethics and Business Conduct and related workplace conduct and safety policies

Benefits

Comp & perks

Healthcare (medical, dental, vision)
Basic term and optional term life insurance
Short-term and long-term disability
Pregnancy disability and parental leave
401(k) and employer-funded retirement plan
Paid vacation (from two to five weeks depending on salary grade and tenure)
Up to 11 paid holiday opportunities
Adoption assistance
Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law
Annual discretionary incentives
Incentive and recognition programs
Equity stock purchase
401(k) contribution and pension