CAREERS

Regulatory / Mutual Fund Attorney

📁
Operations/Securities
📅
85664 Requisition #

Regulatory / Mutual Fund Attorney

DESCRIPTION

The Fund Governance Solutions Group is comprised of teams of legal and compliance professionals providing regulatory administration and compliance support services. These teams assist clients in meeting the regulatory and compliance obligations associated with managing mutual funds registered under the Investment Company Act of 1940, as amended (the “1940 Act”); collective investment trusts; and partnership vehicles.

The Regulatory / Mutual Fund Attorney, also referred to as the Senior Consultant, will serve as a resource for clients on mutual fund disclosure and governance matters, compliance functions, and new fund and product launches. In addition, the Senior Consultant will independently coordinate the delivery of services to clients, including oversight of team activities.

POSITION LOCATION

Northern Trust is flexible on the position location for the Mutual Fund Attorney / Senior Consultant position. Ideally, the successful candidate would be located in either Chicago or another major metropolitan area within the United States.

PRIMARY RESPONSIBILITIES

• Independently execute and oversee mutual fund disclosure, board support and compliance functions.

• Prepare materials for client board meetings, including meeting notices, agendas and resolutions. •

Draft board and committee meeting minutes.

• Update and maintain Board and regulatory calendars and responsibility matrices.

• Prepare and execute regulatory filings and reporting with the Securities and Exchange Commission.

• Perform the research on issues governed by the Investment Company Act of 1940 and other fund and client regulatory obligations as needed.

• Maintain fund records and facilitate fund responses to periodic audit and regulatory requests.

• Support for client product development initiatives, including drafting of offering documents for new funds and drafting proxy and information statements.

• Assist clients with response to SEC regulatory examinations and inquiries, as necessary.

• Participate in consultative discussions on a wide range of matters that impact mutual funds with client senior management.

REQUIRED KNOWLEDGE / SKILLS / QUALIFICATIONS

• Significant experience applying the Investment Company Act of 1940, as amended, and the rules and regulations thereunder.

• Working knowledge of securities laws, types of investment products and mutual fund operations.

• Ability to establish and maintain good working relationships with clients at all functional levels, including board members and fund management.

• Comfortable engaging with fund regulators, fund counsel and fund service providers on behalf of the fund in connection with the preparation for board meetings and of filings.

• Excellent oral and written communication skills.

• Strong attention to detail.

• Analytical and problem-solving skills.

• Ability to work independently and as part of a collaborative group.

• Excellent organizational and project management skills.

• Highly flexible and adaptable to change.

• Ability to work under pressure and prioritize competing tasks that require the highest level of attention to detail.

• A minimum of 3 Years of experience working for a mutual fund organization ( adviser or otherwise), a mutual fund administrator or service provider, the investment management practice of a law firm, or with the SEC or other regulatory agency.

• A college or university degree in Business Administration, Finance, Economics, Accounting, or related field and / or relevant proven work experience.

PREFERRED KNOWLEDGE / SKILLS / QUALIFICATIONS

• Experience with corporate governance activities

• Basic understanding of financial statements

• Advanced proficiency in MS Word, Excel and PowerPoint

• A JD or Paralegal certificate.

About Northern Trust: Northern Trust provides innovative financial services and guidance to corporations, institutions and affluent families and individuals globally. With over 130 years of financial experience and nearly 20,000 partners, we serve the world’s most sophisticated clients using leading technology and exceptional service.

Working with Us: As a Northern Trust partner, you will be part of a flexible and collaborative work culture, which has a strong history of financial strength and stability. Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company that is committed to strengthening the communities we serve!

We recognize the value of inclusion and diversity in culture, in thought, and in experience, which is why we are honored to receive the following awards in 2021:

Gender Equality Index Member, Bloomberg

Top Financial & Banking Company, Black EOE Journal, Hispanic Network Magazine, Professional WOMAN'S Magazine

We’d love to learn more about how your interests and experience could be a fit with one of America’s best banks and most sustainable companies! Build your career with us and apply today.

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Reasonable Accommodation
Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities. If, because of a medical condition or disability, you need a reasonable accommodation for any part of the employment process, please email our HR Service Center or call 1-800-807-0302 (North America), +630-276-5353 (Asia Pacific), 1800-425-0333 (India), +44(0)207 982 4357 (Europe, Middle East and Africa) and let us know the nature of your request and your contact information.

Equal Employment Opportunity Statements
  • APAC/India EEO Statement
    • APAC/INDIA EEO STATEMENT

      It is the policy and practice of Northern Trust to provide equal employment opportunities to all employees and applicants. Northern Trust does not discriminate on the basis of race, colour, religion or belief, nationality, ethnic or national origin, sex, marital status, sexual orientation, disability or age. All employment decisions will be made in a non-discriminatory manner in accordance with our obligations under the law and codes of practice. This includes human resources’ decisions relating to recruitment, terms and conditions of employment, transfers, promotions and access to learning and development.

  • Canada EEO Statement
    • Canada EEO STATEMENT

      Northern Trust is an Equal Opportunity Employer. Hiring and other employment decisions at Northern Trust are made without regard to race, colour, religion, sex, ancestry, national origin, ethnic origin, age, disability, citizenship, veteran status, sexual orientation, record of offences, marital status, family status, or any other characteristic protected by federal, provincial, or local law, regulation, or ordinance.

  • EMEA EEO Statement
    • EMEA EEO STATEMENT

      It is the policy and practice of Northern Trust to provide equal employment opportunities to all employees and applicants. Northern Trust does not discriminate on the basis of race, colour, religion or belief, nationality, ethnic or national origin, sex, marital status, sexual orientation, disability or age. All employment decisions will be made in a non-discriminatory manner in accordance with our obligations under the law and codes of practice. This includes human resources’ decisions relating to recruitment, terms and conditions of employment, transfers, promotions and access to learning and development.

  • USA EEO Statement
    • USA EEO STATEMENT

      It is the policy of The Northern Trust Company to afford equal opportunity in all phases of employment without regard to an individual's age, race, color, religion, creed, gender, national origin, citizenship status, marital status, pregnancy, sexual orientation, gender identity, gender expression, genetic tests and information, physical or mental disability, protected veteran status or any other legally protected status. EEO poster (U.S.)EEO is Law Poster Supplement