Associate - Regulatory Services
Posted on: 12 Feb 2021
Boston, MA
Job Description
J. P. Morgans Regulatory Services group provides SEC registration statement, corporate governance, and other regulatory services to mutual fund clients of all types, including open-end and closed-end funds and exchange-traded products. The Regulatory Services Associate will work with mutual fund clients registered under the Investment Company Act of 1940 (1940 Act) to support clients registration statement, Board governance and other regulatory services needs.
Working independently, with limited oversight from more experienced team members, the Regulatory Services Associate:
* Is responsible for managing the delivery of regulatory services, and the quality of the deliverables, to assigned smaller clients.
* Coordinates preparing and making SEC filings for assigned funds (including, as applicable, annual updates to Registration Statements on Form N-1A, post-effective amendments, supplements, and Rule 497, Form N-CSR, Form 24f-2, Form 17f-2, Form N-PX, fidelity bond and proxy statement filings).
* Prepares, maintains and adheres to clients annual recurring board agendas and regulatory filings calendars.
* Coordinates drafting, compiling and distributing Board and Committee meeting books.
* May attend Board and Committee meetings and drafts Board and Committee meeting minutes.
* Coordinates with internal teams and clients, clients legal counsel, clients print vendors and other client service providers as necessary.
* Provides assistance and direction to less experienced team members.
Qualifications:
* Minimum of 5 years providing regulatory services (or legal administration services) to investment companies.
* Bachelors degree required, preferably in a field that demonstrates legal or writing skills (i.e. legal studies, journalism, English or liberal arts degree).
* Demonstrate a high level of integrity and professionalism.
* Experience with EDGAR filings and working knowledge of the provisions of the 1940 Act that apply to regulatory services.
* Strong drafting and proofreading skills with high attention to detail and accuracy.
* Excellent verbal, written and interpersonal communication skills.
* Good presentation skills, including presentations to boards of directors.
* Excellent organizational and time management skills are essential. Must have the ability to shift priorities and work concurrently on multiple projects.
* Self-starter with the ability to work well independently and as part of a group.
* Ability to work collegially and collaboratively with other team members.
* Ability to identify issues and bring them to the attention of more senior management.
* Good problem-solving and analytical skills.
* Strong client service orientation, with a professional and proactive approach to service delivery.
* Strong computer skills required, including excellent typing and document editing skills and understanding of Microsoft Office Suite (Word, Excel and PowerPoint), as well as other software programs necessary for job performance (e.g., Diligent Boards, ArcPro or equivalent software)
* Limited evening and weekend hours may be required.
JPMorgan Chase & Co.
New York, New York
JPMorgan Chase & Co. operates as a financial services company worldwide. It operates in four segments: Consumer & Community Banking (CCB), Corporate & Investment Bank (CIB), Commercial Banking (CB), and Asset & Wealth Management (AWM). The CCB segment offers deposit and investment products and services to consumers; lending, deposit, and cash management and payment solutions to small businesses; mortgage origination and servicing activities; residential mortgages and home equity loans; and credit card, payment processing, auto loan, and leasing services.
The CIB segment provides investment banking products and services, including corporate strategy and structure advisory, and equity and debt markets capital-raising services, as well as loan origination and syndication; cash management and liquidity solutions; and cash securities and derivative instruments, risk management solutions, prime brokerage, and research.
This segment also offers securities services, including custody, fund accounting and administration, and securities lending products for asset managers, insurance companies, and public and private investment funds. The CB segment provides financial solutions, including lending, treasury, investment banking, and asset management to corporations, municipalities, financial institutions, and nonprofit entities, as well as financing to real estate investors and owners.
The AWM segment offers investment and wealth management services across equities, fixed income, alternatives, and money market fund asset classes; multi-asset investment management services; retirement products and services; and brokerage and banking services comprising trusts, estates, loans, mortgages, and deposits. The company also provides ATM, digital covering online and mobile, and telephone banking services. JPMorgan Chase & Co. has a collaboration agreement with Chicagoland Chamber of Commerce. The company was founded in 1799 and is headquartered in New York, New York.
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IndustryBanking/Financial Services
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No. of Employees255,998
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Website
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Jobs Posted9051
