1940 Act Paralegal

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
1940 Act Paralegal / Regulatory Administrator
1940 Act Paralegals are a key point of direct interaction with GFS clients and are trained to assist in drafting and filing registration statements with the SEC. Paralegals work with our team of GFS Regulatory Administration attorneys and fund administrators to manage multiple complex client and internal projects at any time.
1940 Act Paralegals, 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 or Paralegals 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 Paralegals create, monitor adherence to, and maintain. Paralegals also work on additional projects/duties as assigned.
Basic Qualifications

• Paralegal Certification from an accredited program, or equivalent degree or experience

Preferred 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.
• Strong computer skills required, including excellent typing skills, and in-depth understanding of Microsoft Word.
• 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.
• 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.
• Knowledge of SEC and FINRA rules or regulatory filings applicable to mutual funds/ETFs is a plus.
• 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.

The role offers a hybrid/flexible schedule, which means there's an in-office expectation of 3 or more days per week and the flexibility to work outside the office location for the other days.
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. Applicants can learn more about the company's status as an equal opportunity employer by viewing the federal KNOW YOUR RIGHTS EEO poster.
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. Learn more about the E-Verify program.
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, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $21.88 - $29.13 - $32.04
Job postings typically remain open for approximately 20 days of the posting date listed above, however the job posting may be closed earlier should it be determined the position is no longer required due to business need. Job postings in areas with a high volume of applicants, such as customer service, contact center, and Financial Crimes investigations, remain open for approximately 5 days of the posting listed date.