Regulatory & Fund Disclosure Analyst (SEC Filing)
DWS Group
DWS Group in Boston is seeking a Legal Analyst to support fund disclosure and SEC registration efforts. You will prepare and review mutual fund and ETF disclosure documents, coordinate with in-house counsel, and help finalize SEC filings. Ideal candidates have a BA/BS and at least 1 year of SEC registration or securities paralegal experience, preferably in asset management. You will interact with fund counsel, auditors, and internal teams in a fast-paced environment. #J-18808-Ljbffr DWS Group
$70k - $130k
Employer: DWS Group Title: Legal Analyst - Fund Disclosure & SEC Registration Location: Boston Job Code... ...SEC registration documents for SEC filing, print and electronic distribution;... ...and alignment of structured data with regulatory requirements. Coordinate with...RegulatoryWork at officeLocal areaWork from homeFlexible hours- DWS Group in Boston is seeking a Legal Analyst to support fund disclosure and SEC registration. You will prepare and review disclosure documents, coordinate with in-house counsel, and finalize SEC filings for mutual funds and ETFs. We value a BA/BS with 1+ years of SEC...Suggested
- DWS Group in Boston is seeking a Legal Analyst to support fund disclosure and SEC registration processes. You will work with in-house counsel on mutual... ...documents and coordinate with external providers to ensure regulatory compliance. The role requires at least 1+ year SEC...Regulatory
- DWS Group in Boston is seeking a Legal Analyst to support SEC registration, mutual fund disclosure, and document management. You will coordinate with in-house counsel, service providers, and internal teams to ensure timely and compliant document production. The role requires...Suggested
$96.6k - $130k
...compliance with FINRA, SEC, MSRB and SIPC... ...pursuant to the filings review program; provides... ...and communicates regulatory and administrative... ...year as a Senior Analyst in the Advertising... ...requiring the disclosure of salary ranges for... ...additional FINRA-funded retirement contribution...RegulatoryFull timeTemporary workFor contractorsWork experience placementFor subcontractorLocal areaImmediate start$80k - $150k
...currently seeking to recruit a high-quality Fund Product Analyst, to join our Funds team in the US.... ..., oversight, and maintenance of regulatory documentation, working closely with the... ...or coordinate drafting of required disclosure amendments to offering documentation,...RegulatoryFull timeRemote workFlexible hours1 day per week$80k - $150k
Wellington Management Company is seeking a Financial Reporting Analyst for its US Funds team. This role involves assisting with annual financial audits and regulatory filings while collaborating with various teams and stakeholders. Candidates should possess a degree in...Regulatory$80k - $150k
...adviser to institutional clients and mutual fund sponsors in over 60 countries. Our... ...Reporting & Audit.The Financial Reporting Analyst will be a member of the Fund Reporting... ...fund financial statement audits and regulatory filings. This role will require frequent interaction...RegulatoryFull timeRemote workFlexible hours1 day per week$65k - $90k
...fulfilling career. The Legal Analyst position reports to... ...Corporate Secretarial/Regulatory Group provides... ...to select full service Fund Administration mutual fund... ...statements and other regulatory filings, reviewing and filing... ...in responding to SEC requests for information...RegulatoryFull timeWork experience placementLocal area$80k - $150k
Financial Reporting Analyst, US Funds About the Role Wellington Management sponsors and sub‑advises a broad array of investment funds,... ...for completing annual fund financial statement audits and regulatory filings alongside other Wellington teams and external service providers...RegulatoryFlexible hours- ...Trading Analyst Business Analyst Boston, MA JO-1612-320... ...guidelines, client expectations, and regulatory requirements (including the identification of SEC and/or CFTC filing obligations) Monitor trade... ...operations, brokers, and the fund administrator to ensure...Regulatory
$65k - $90k
...fulfilling career. The Legal Analyst position reports to... ...Corporate Secretarial/Regulatory Group provides... ...to select full service Fund Administration mutual fund... ...statements and other regulatory filings, reviewing and filing... ...in responding to SEC requests for information...RegulatoryWork experience placementLocal area- ...prospectus and SAI as well as regulatory reports such as Form N-CSR and... ...knowledge with respect to all mutual funds. Works on more complex funds.... .... Prepares Form N-CSR filings accurately and completely.... ...Regulatory experience (i.e. SEC/EDGAR filings) a plus. Minimum...RegulatoryFull timeTemporary workLocal areaRemote workFlexible hours
$77k - $104k
...industry leaders in insurance and tech, and we still have room to grow - that’s where you come in. What You’ll Do End‑to‑End Filing & Regulatory Management Own the full lifecycle of product filings, ensuring accurate submissions across all 51 jurisdictions. Develop...RegulatoryFull timeWork at officeLocal areaFlexible hours$52k - $86k
BNY Mellon is looking for an Associate in Regulatory Reporting in Boston, MA. The role involves preparing and coordinating regulatory filings, ensuring compliance with standards, and supporting process improvements. The ideal candidate holds a Bachelor’s degree in accounting...Regulatory- ...a key player in the FAS Office of Finance, the Non-Sponsored Funds Analyst will work closely with the Manager of Non-Sponsored funds to... ...plans for "hard to use”" funds. Performs internal control and regulatory testing related to non-sponsored funds, including release...RegulatoryWork experience placement
$80k - $150k
...expanding its US Wealth channel and is seeking a high‑quality Fund Product Analyst to join our Funds team in the United States. The Analyst... ...scales. Coordinate drafting, oversight, and maintenance of regulatory documentation in collaboration with the Funds Legal team and...RegulatoryWork at officeRemote workFlexible hours$275k - $375k
...Management Attorney – Registered Funds Direct Counsel is seeking a... ...translate complex legal and regulatory developments into practical resources... ...fund formation, registration, disclosure, governance, compliance, board matters, regulatory filings, and ongoing fund operations....Regulatory$107.5k - $169.2k
..., financial statements, and regulatory filings for a diverse portfolio of investment... ...products, including mutual funds, ETFs, 529 plans, separate... ...in compliance with GAAP, SEC, and other applicable... ...interpretations, policy application, and disclosure requirements and issue...RegulatoryFull timeH1bWork at officeWork from homeVisa sponsorship1 day per week- ...Senior Financial Reporting Analyst at Veralto, you'll... ..., and contribute to SEC reporting activities for... ...implications and disclosure requirements for significant... ...other required SEC filings, including but not limited... ...internal controls and regulatory requirements related...RegulatoryLocal areaRemote workWorldwideFlexible hoursShift work
$90k - $150k
Sr Analyst, Investment Compliance page is loaded## Sr Analyst, Investment... ...public & private retirement funds, sovereign wealth funds,... ...firm adheres to all client and regulatory guidelines.**Primary Duties and... ...Securities and Exchange Commission (SEC) and the Commodity Futures...RegulatoryRemote work- ...Columbia Threadneedle Investments registered funds group. Under attorney supervision, you will handle ongoing legal and regulatory activities related to the 1940 Act and SEC rules. You will coordinate disclosures, filings, and input from product, compliance, and finance...Regulatory
- ...Summary The Lead AML/CFT Analyst is responsible for managing... ...ensures operational effectiveness, regulatory compliance, and consistent... ...such as typing, writing, and filing. Employees must also be able... ...required. Pay Range Disclosure The pay range for this position...RegulatoryWork experience placementWork at officeRemote work
- ...immediately.Independent Chief Compliance Officer for mutual fund clients, appoint pursuant to Rule 38a-1 under the... ...policies and procedures design to ensure compliance with the regulatory framework imposed by the SEC, the Financial Industry Regulatory Authority (FINRA) and...RegulatoryImmediate start
- Fintech Risk Analyst Department: Risk Management Employment Type: Full Time... ...ensure adherence to Bank policy and regulatory requirements. Track identified issues... ...opening, account maintenance and disclosures, bank statements, funds availability, etc.) Support the maintenance...RegulatoryFull timeWork experience placementRemote work
$75k - $140k
...clients in litigation and arbitration, regulatory and policy, intellectual property... ...Summary The International Trade Analyst’s substantive focus will involve... .... Assists attorneys in preparing filings with CBP such as protests, prior disclosures, penalty petitions, detentions,...Regulatory$110k - $130k
...opportunities with asset managers and hedge funds. Develop and deliver consistent... ...respect for a strong compliance culture and regulatory framework Preferred Qualifications... ...Proficiency Program is required): Yes SEC Security-Based Swap Dealer Associated Person...RegulatoryWork at officeLocal area$120k - $202.5k
...Technology partners to drive product innovation, regulatory alignment, and operational excellence... ...impacting secured financing or funding businesses.Bachelor’s degree in Finance,... ...careersRead our CEO StatementJob Application Disclosure:It is unlawful in Massachusetts to...RegulatoryFull timeTemporary workWork at officeFlexible hours$78k - $113k
...and insurance providers, coordinates filing and maintenance of regulatory plan documents, coordinates benefit... ...orientation. Position: Benefits Analyst. Department: Human Resources. Schedule... ...5500s, PBGC filings, and employee disclosures. Educates employees and facilitates...RegulatoryFull timeWork at officeFlexible hours$78k - $113k
...insurance providers; coordinates timely filing and maintenance of regulatory plan documents; coordinates benefit... ...orientation. Position: Benefits Analyst Department: Human Resources... ...Form 5500s, PBGC filings and employee disclosures. Educates employees and facilitates...RegulatoryFull timeFixed term contractWork at officeFlexible hours
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Regulatory & Fund Disclosure Analyst (SEC Filing). Be the first to apply!
- regulatory affairs specialist Boston, MA
- medicare compliance specialist Boston, MA
- senior compliance analyst Boston, MA
- regulatory compliance analyst Boston, MA
- compliance specialist Boston, MA
- aml compliance analyst Boston, MA
- pharmaceutical compliance officer Boston, MA
- regulatory officer Boston, MA
- healthcare compliance officer Boston, MA
- regulatory analyst Boston, MA


