J. P. Morgan's Regulatory Services group provides SEC registration statement, corporate governance, and other regulatory services to mutual fund clients of all types, including open-end and closed-end funds and exchange-traded products. The Regulatory Services Associate will work with mutual fund clients registered under the Investment Company Act of 1940 (1940 Act) to support clients' registration statement, Board governance and other regulatory services needs.
Working independently, with limited oversight from more experienced team members, the Regulatory Services Associate:
Is responsible for managing the delivery of regulatory services, and the quality of the deliverables, to assigned smaller clients.
Coordinates preparing and making SEC filings for assigned funds (including, as applicable, annual updates to Registration Statements on Form N-1A, post-effective amendments, supplements, and Rule 497, Form N-CSR, Form 24f-2, Form 17f-2, Form N-PX, fidelity bond and proxy statement filings).
Prepares, maintains and adheres to clients' annual recurring board agendas and regulatory filings calendars.
Coordinates drafting, compiling and distributing Board and Committee meeting books.
May attend Board and Committee meetings and drafts Board and Committee meeting minutes.
Coordinates with internal teams and clients, clients' legal counsel, clients' print vendors and other client service providers as necessary.
Provides assistance and direction to less experienced team members.
Minimum of 5 years providing regulatory services (or legal administration services) to investment companies.
Bachelor's degree required, preferably in a field that demonstrates legal or writing skills (i.e. legal studies, journalism, English or liberal arts degree).
Demonstrate a high level of integrity and professionalism.
Experience with EDGAR filings and working knowledge of the provisions of the 1940 Act that apply to regulatory services.
Strong drafting and proofreading skills with high attention to detail and accuracy.
Excellent verbal, written and interpersonal communication skills.
Good presentation skills, including presentations to boards of directors.
Excellent organizational and time management skills are essential. Must have the ability to shift priorities and work concurrently on multiple projects.
Self-starter with the ability to work well independently and as part of a group.
Ability to work collegially and collaboratively with other team members.
Ability to identify issues and bring them to the attention of more senior management.
Good problem-solving and analytical skills.
Strong client service orientation, with a professional and proactive approach to service delivery.
Strong computer skills required, including excellent typing and document editing skills and understanding of Microsoft Office Suite (Word, Excel and PowerPoint), as well as other software programs necessary for job performance (e.g., Diligent Boards®, ArcPro or equivalent software)
Limited evening and weekend hours may be required.
JPMorgan Chase & Co., one of the oldest financial institutions, offers innovative financial solutions to millions of consumers, small businesses and many of the world's most prominent corporate, institutional and government clients under the J.P. Morgan and Chase brands. Our history spans over 200 years and today we are a leader in investment banking, consumer and small business banking, commercial banking, financial transaction processing and asset management.
We recognize that our people are our strength and the diverse talents they bring to our global workforce are directly linked to our success. We are an equal opportunity employer and place a high value on diversity and inclusion at our company. We do not discriminate on the basis of any protected attribute, including race, religion, color, national origin, gender, sexual orientation, gender identity, gender expression, age, marital or veteran status, pregnancy or disability, or any other basis protected under applicable law. In accordance with applicable law, we make reasonable accommodations for applicants' and employees' religious practices and beliefs, as well as any mental health or physical disability needs.