At U.S. Bank, we’re on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at—all from Day One.

Job Description

U.S. Bank Global Fund Services (“GFS”), a subsidiary of U.S. Bank, provides a variety of services to support our mutual fund and exchange-traded fund (“ETF”) clients, among others. The Regulatory Administrator position is part of the Regulatory Administration group within GFS, which primarily assists our fund clients with 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 GFS clients and are trained to assist in drafting and filing registration statements with the SEC. Regulatory Administrators work with our team of GFS Regulatory Administration attorneys, regulatory administrators and EDGAR filers to manage multiple complex client and internal projects at any time. Our current Regulatory Administrators tend to have paralegal training or background, but this is not a requirement for the position.

Candidates may work remotely if not located near our offices in Milwaukee, Wisconsin (HQ); Cincinnati, Ohio; Glendora, California; or Mesa, Arizona, and candidates located near an office would be expected to split their time between the office and the remote location where they work best.

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 proxy statements on Schedule 14A or Form N-14, using a content management system;

• Coordination with internal colleagues and external clients to incorporate their changes to large and complex documents;

• Working with GFS Regulatory Administration attorneys 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; and

• Reporting and confirming regulatory project billing information.

Many of these duties involve working directly with internal counsel, external fund counsel, internal compliance 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.

Basic Qualifications

• Paralegal certification from an accredited program or related experience

• Four to eight years of relevant experience in the financial services industry, mutual funds, and/or ETFs

Preferred Skills/Qualifications

• Energetic self-starter with strong organizational and proofreading skills, excellent communication and interpersonal skills (both oral and written), and above average drafting/writing skills.

• Resourcefulness in problem-solving.

• Ability to establish priorities and work concurrently on a variety of projects.

• Proven ability to adapt to new software and processes.

• The ability to work well independently and as part of a group, often within tight time constraints.

• Strong computer skills required, including excellent typing skills, and in-depth understanding of Microsoft Word.

• Two or more years of legal environment experience, ideally in a mutual fund, financial services, or law firm environment with exposure to securities matters is desired, but not required.

• Knowledge of SEC and FINRA rules or regulatory filings applicable to mutual funds/ETFs is desired, but not required.

• Minimum of an associate’s degree is required, though previous related experience may be accepted in lieu of a degree.

• Evenings and weekends may be required during peak periods.

Compensation is expected to be commensurate with the candidate's experience, with an initial range of $65,000 to $85,000 annually.

If there’s anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants.

Benefits:

Our approach to benefits and total rewards considers our team members’ whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following (some may vary based on role, location or hours):

• 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

EEO is the Law

U.S. Bank is an equal opportunity employer committed to creating a diverse workforce. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, among other factors.

E-Verify

U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services.

The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, US Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401k contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $26.63 - $35.53 - $39.08