Senior Fund Regulatory Lead — 1940 Act & Filings
U.S. Bank
U.S. Bank is seeking a seasoned regulatory attorney to support fund clients by drafting and filing SEC registrations, proxy statements, and related regulatory materials. You will work with internal counsel and cross-functional teams to ensure compliance with the Investment Company Act of 1940 and evolving regulatory requirements. The role offers a hybrid schedule with 3+ days in-office and opportunities to lead complex projects, manage teams, and advise on governance and regulatory strategy. #J-18808-Ljbffr U.S. Bank
$175k - $200k
...Day One.Job DescriptionThe Regulatory Administration group supports fund clients through... ...investment company regulatory filings, fund governance documents... ...applying the Investment Company Act of 1940, including its impact on... ...environment as well as lead department and...RegulatoryWork at officeLocal areaRemote workFlexible hours3 days per week$175k - $200k
...One. Job Description The Regulatory Administration group supports fund clients through... ...investment company regulatory filings, fund governance documents... ...applying the Investment Company Act of 1940, including its impact on... ...environment as well as lead department and...RegulatoryTemporary workWork at officeLocal areaRemote workFlexible hours3 days per week- ...Our client, a leading global alternative... ...manager, is seeking a Senior Compliance Manager... ...on a wide range of regulatory and compliance... ...within a premier hedge fund. Key... ...leadership on regulatory filings, including Form ADV... ...Advisers Act of 1940 and SEC regulatory...SeniorRegulatoryFull timeWork at office
$121k - $185k
...that observes, guides, and acts alongside the world’s most successful... ...compliance story. As our Senior GRC Security Lead, you will be the architect... ...aligned with evolving regulatory requirements, industry frameworks... ...’s needs. ~ Wellbeing Fund - flexible wellness stipend...SeniorRegulatoryRemote workWork from homeFlexible hours- ...an experienced Senior Compliance to provide... ...its private fund and wealth advisory... ...partnership and regulatory judgment.... ...recurring matters, and act as a senior... ...and Guidance Lead, coach, and develop... ...regulatory filings, compliance testing... ...Advisers Act of 1940, private fund compliance...SeniorRegulatoryFull timeInternshipWork at officeLocal area
$100k - $130k
...management, registered funds, and private... ...compliance professionals and senior leadership. With continued... ...to gain broad regulatory exposure, develop technical... ...the Investment Company Act of 1940.This position is ideal... ..., regulatory filings, board reporting, and...Regulatory$80k - $120k
...for investor services and acts as the liaison between clients and senior management. The... ...The Senior Associate (Team Lead) will join the Firm's growing... ...analysis of subscription, fund legal, AML/KYC and related... ...reports.* **Tax and AML Regulatory Compliance:** Complies with...SeniorRegulatoryWork at office- Tiger Analytics is seeking a senior business consultant specializing... ...Crime Compliance (FCC) to act as a bridge between business compliance... .... Responsibilities include leading discovery sessions,... ...data models, and translating regulatory rules into monitoring #J-1880...SeniorRegulatory
$110k - $210k
What You’ll Do As a Senior Manager on our State & Local... ...(SALT) team, you will lead complex direct tax (... ...engagements for investment funds, private equity, hedge... ..., and state-specific filing positions. Serve as a technical... ...legislative and regulatory developments across key...SeniorRegulatoryFull timeContract workWork at officeLocal areaRemote work- Chain IQ is seeking a senior Sourcing professional to lead end-to-end BPO initiatives for banking and financial... ...clients. Based in the US, you will act as a trusted advisor to senior... ...risk, and compliance teams to ensure regulatory alignment while driving cost reductions...SeniorRegulatory
$160k - $180k
...is our technical, regulatory and operational expertise... ...oversight from senior leadershipYou’re... ..., regulatory filings, and updates to compliance... ...will lead client trainings,... ...Investment Advisers Act of 1940 and the Investment... ...launching their first fund, in an environment...RegulatoryLocal area$123.4k - $224.2k
...good. Your impact We are seeking a Senior NEPA Environmental Lead to support and help grow our Midwest... ...transportation environmental strategy, regulatory interface, and high-quality technical... ...Section 7 of the Endangered Species Act, Section 106 of the National Historic...SeniorRegulatoryFull timeWork at officeLocal areaRemote workWork from home$95.6k - $162.4k
...’s most sophisticated clients using leading technology and exceptional service.... ...protecting clients, and meeting global regulatory expectations. The Senior Lead, Technology Risk and Control... ...Technology Risk & Control team, this role acts as an advisor to technology, risk,...SeniorRegulatoryFull timeH1bWorldwideFlexible hours- ...delivering strategic guidance with minimal oversight. You will ensure timely, accurate deliverables such as annual reviews and regulatory filings, and lead trainings and mock exams during SEC and FINRA examinations. You will stay abreast of regulatory changes, guide clients...SeniorRegulatory
$100k - $135k
IQ-EQ in Chicago seeks a Senior Manager for Private Equity Fund Accounting to lead complex fund accounting and oversight. You will guide journal entries, investor... ..., and waterfall models, ensuring accuracy and regulatory compliance across multiple funds. The role demands...SeniorRegulatory$196.5k - $333.5k
...as the ability to transfer and withdraw funds. We enable consumers to exchange funds more... ...global commerce. We’re looking for a Senior Lead Product Manager to lead product direction... ...implementation, while balancing regulatory requirements, time-to-market, meeting customer...SeniorRegulatoryFull timeWork at officeLocal areaImmediate startFlexible hours$175k - $257.15k
...Vertical Engineering Lead for Tech Labs —... ...report findings to the Senior Director to inform... ...field, not just filed for audit.Experience... ...page.Get it Done — acts decisively, takes ownership... ...of account funding.QualificationsBachelor... ....Experience with regulatory compliance frameworks...RegulatoryFull timeLocal areaRemote work- AppleOne Employment Services is seeking a Senior Financial Reporting Consultant for a contract role in Chicago, IL. The position focuses on investment company reporting, U.S. GAAP, SEC filings, derivatives, and audit support, delivering accurate financial statements and...SeniorContract work
$90k - $175k
Magnetar is a leading global alternative asset manager with ~$17B AUM... ...accountant to join our Fund Finance team at Magnetar. This... ...reporting requirements, including regulatory reporting, investor snapshots... ...under the Illinois Human Rights Act or any other appliable law, or...SeniorRegulatoryApprenticeshipWork experience placementInterim roleWork at officeFlexible hours$200.7k - $229.1k
Senior Manager, Community Finance Originations - Multi-fund Capital One, a Fortune 500 company and one of... ...Political Affairs Group, Regulatory Relations, and Strategy... ...Identify, source and lead the origination efforts... ...York City’s Fair Chance Act; Philadelphia’s Fair...SeniorRegulatoryFull timePart timeLocal area$80k - $153k
...legislative, account and regulatory requirements (IRS/DOL/... ...benefits design, strategy, funding, communication, and... ...bring experience from other leading consulting firms. While... ...the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, the Investment Company...SeniorRegulatoryWork from home$200k - $230k
...upholding the highest regulatory and ethical standards.... ...meaningful exposure to senior leadership across the... ...private credit strategy and fund structures and the... ...reach; (3) Leading and coordinating the implementation... ...Investment Advisers Act of 1940 and Investment...SeniorRegulatoryFull timeTemporary workWork at office$163k - $204k
...provides compliance and regulatory support to AIG’s... ...within Legal on regulatory filings (13F, 13G/D, 13H, etc.)... ...stakeholders.Scope and lead special projects and ad... ...Investments of Insurers Model Act; background... ...Investment Advisers Act of 1940 and the Investment Company...SeniorRegulatoryFull timeWork at office$130k - $170k
...Drive remediation: case disposition, funding actions, merchant/user offboarding recommendations... ...developments, network rule changes, and regulatory updates, and translate them into product... ...a demonstrated path toward building and leading a fraud team over time. Comfortable...SeniorRegulatoryFull timeWorldwide- ...management of open-end and closed-end real estate fund products, including co-investment vehicles and... ...real estate fund sponsors and investors in legal, regulatory, and transactional matters. Key duties include leading teams during fundraising processes for real estate...SeniorRegulatory
- ...is looking for a Senior Settlement & Trading... ...yourself, and acting as a subject matter... ...steady when the team lead is out.If you like... ...and partner float files. Track down the... ...stablecoin-based funding, payouts, and settlement... ...away technical, regulatory, and operational...SeniorRegulatoryFull timeImmediate start
- Old National Bank in the United States is seeking a Senior Analyst in Third-Party Risk Management to oversee risk assessments across... ...portfolio of vendors and ensure compliance with internal standards and regulatory requirements. You will partner with internal stakeholders,...SeniorRegulatory
$310k - $390k
...sophisticated registered fund and business... ...experience advising on 1940 Act registered funds and business... ...company matters at a leading law firm. Key Responsibilities... ...governance and regulatory matters Assist with... ..., and regulatory filings Qualifications Approximately...Regulatory- Insight Global in Chicago, IL seeks an Options Investigator to join the Cboe Regulatory Division. The role involves conducting focused investigations into trading activities to detect violations of Exchange Rules and SEC regulations. You will manage cases end-to-end, gather...SeniorRegulatory
- ...seeking an experienced Chief AML Officer to lead and execute our firm‑wide AML program... ...ensure full adherence to BSA, USA PATRIOT Act, and AML laws. Responsibilities include overseeing... ...design of surveillance reports to meet regulatory expectations. #J-18808-Ljbffr...SeniorRegulatoryWork at office
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