Mutual Fund Regulatory Analyst

For more than a century, Northern Trust has worked hard building our legacy of outstanding service, expertise and integrity. From a Chicago-based bank founded in 1889, we now have more than 20 international locations and 18,100 employees globally. We serve the world's most-sophisticated clients ? from sovereign wealth funds and the wealthiest individuals and families, to the most-successful hedge funds and corporate brands.
We burnished our reputation as a global leader delivering innovative investment management, asset and fund administration, fiduciary and banking solutions enabled by sophisticated, leading technology. And through it all, we continually laid a solid, forward-looking foundation on which future generations can continue growing and achieving greater.
As of June 30, 2018, Northern Trust Corporation had:
$135 billion in banking assets
$8.1 trillion in assets under custody
$10.7 trillion in assets under custody/administration
$1.1 trillion in assets under management
Job Description:
We are seeking an experienced individual to join our team within the Fund Governance Solutions business unit. The Regulatory Analyst will support senior team members providing Board governance, regulatory, compliance and U.S. Securities and Exchange Commission ("SEC") disclosure filing services to registered mutual fund clients.
Primary Responsibilities:
The Mutual Fund Regulatory Analyst's primary responsibilities will include:
Involvement in all aspects of planning, preparation and execution of mutual fund Board and Committee meetings, including drafting and reviewing meeting calendars, production schedules and responsibility matrices.
Assist with the drafting of mutual fund Board and Committee meeting materials, including agendas, meeting notices, cover letters, resolutions, minutes and other governance documentation.
Assist in addressing questions and inputting comments on Board materials from fund and in-house counsels, investment advisers, auditors, and other reviewers.
Prepare and maintain Board and regulatory calendars.
Support the preparation, review and editing of investment company regulatory filings (including registration statements, financial reports, proxy materials, Forms N-Q, N-CSR, N-CEN, N-CR, N-PX and 24f-2, etc.) with the SEC.
Maintain client records pursuant to the group's record retention program.
Support the annual review and renewal of fund fidelity bond and directors' and officers' insurance policies, as requested.
Perform research on issues regarding the Investment Company Act of 1940 and other mutual fund regulations, as needed.
Assist on SEC regulatory examinations and inquiries, as necessary.
A Bachelor's Degree in Business Administration, Finance, Economics, Accounting or a related field is required. Advanced degree preferred.
An ideal candidate will have experience as an attorney or paralegal 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.
An ideal candidate will be an intelligent, detail oriented and energetic conceptual thinker with the ability to quickly assess a situation and exercise sound business judgment.
Candidate will be an independent self-starter with the ability to complete tasks independently and in a team environment.
Candidate must be able to work under pressure and prioritize competing tasks that require the highest level of attention to detail and accuracy.
Candidate will be responsible for coordinating with multiple internal and external parties, therefore must demonstrate a cooperative attitude and exceptional interpersonal and consensus building skills.
Candidate must have the ability to establish good working relationships with clients, members of Boards of Trustees, fund counsels, chief compliance officers, auditors and financial printers.
Duties must be accomplished according to timelines which candidate will assist with creating, monitoring and maintaining; therefore strong project management and time management skills are a must.
Excellent oral and written communication skills and attention to detail are required.
Advanced proficiency with Microsoft Office (Outlook, Word, Excel, and PowerPoint) is required.

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