Description:

An American Bank Holding Company Global Fund Services is seeking a licensed attorney with experience working with the Investment Company Act of 1940 and related securities laws and regulations to join the Regulatory Administration group of one of the largest investment company services businesses in the country. Specifically, the role will serve as Chief Compliance Officer for a closed-end fund multiple trust series (Trust) and as a member of the Regulatory Administration team supporting closed-end funds, as well as open-end funds and ETFs.

Candidates will ideally have at least five years of experience practicing with a law firm, closed-end, mutual fund or ETF complex, fund servicing organization, investment advisory firm, or applicable regulatory agency dealing with the Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, and related rules, regulations, guidance, and practices.

The position is responsible for:
Trust Compliance Officer Duties

Maintaining the Trust's compliance program, including review and administration of compliance policies and procedures and the creation of new policies and procedures in response to newly issued regulatory guidance;
Compliance oversight of service providers, including conducting site visits (on-site or virtually) to the Trust, specifically numerous independent investment advisers, Fund Services as Transfer Agent, Fund Administrator, and Fund Accountant, U.S. Bank as Custodian, and external parties such as Distributor(s) to the Funds;
Working closely with other Trust Officers and actively participating in Trust Board Meetings;
Acting as the Trust's anti-money laundering (AML) Officer for their respective Trust
Managing the Trust's regulatory examinations
Preparing and delivering the Trust's compliance reports, including the 38a-1 annual report

Regulatory Administration Duties

Drafting, reviewing, and preparing registration statements for new products or annual updates to fund registration statements;
Ensuring timely and accurate regulatory filings, including registration statement amendments, supplements, exchange listing applications, proxy statements, and related filings;
Communicating with the U.S. Securities and Exchange Commission (“SEC”) and other regulatory agencies and self-regulatory organizations (e.g., New York Stock Exchange) on behalf of fund clients;
Preparing agendas, resolutions, agreements, policies and procedures, and other materials for investment company board meetings and preparing related minutes; and
Serving as a legal resource for clients and internal compliance administrators by providing guidance on issues concerning investment companies, investment advisers, and related entities

The position partners with the other Trust CCOs and Trust Officers in monitoring and addressing changes in the regulatory landscape and determining the impact of such changes to the Trust. In addition, the position may prepare and participate in webinars/calls on regulatory updates to Fund Services' clients, work on departmental projects and other tasks as assigned.

Qualifications, Preferred Skills and Experience

Law degree
Licensed to practice in the applicable jurisdiction*
5 or more years of experience working with the Investment Company Act of 1940 and related securities laws and regulations
Knowledge of closed-end fund laws and regulations, mutual fund and ETF knowledge a plus
Excellent verbal and written communication skills
Ability to manage multiple tasks simultaneously in a deadline driven environment as well as contribute to department and organizational special projects
Ability to work well independently and as a member of a team, which includes the ability to be flexible and adaptable
Strong attention to detail
Experience managing or supervising the work of other 1940 Act professionals or legal support staff
Approximately 15% travel required