1940 Act Attorney

U.S. Bank • Los Angeles, CA • 1d ago

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

The Regulatory Administration group supports fund clients through preparation of registered investment company regulatory filings, fund governance documents, and oversight materials in support of the fund's legal counsel. Responsible for drafting, reviewing and preparing fund registration statements to be filed with the U.S. Securities and Exchange Commission (SEC), including new fund registrations and annual updates. Drafs, reviews and prepares, supplements, exchange listing applications, exemptive relief applications proxy statements and related filings to be filed with the SEC. Communicates with the SEC and other regulatory agencies and self-regulatory organizations (e.g., New York Stock Exchange) on behalf of fund clients. Prepares agendas, resolutions, agreements, policies and procedures and other materials for investment company board meetings and preparing related minutes. Serves as a resource on regulations and industry developments for fund clients in support of legal counsel and as a resource for internal related business lines with regard to matters concerning regulation of investment companies and industry developments

Basic Qualifications

Law Degree

Licensed to practice in the applicable jurisdiction

Two to four or more years of related experience

Preferred Skills/Experience

Legal experience in the investment management practice of a law firm, fund complex or fund servicing organization dealing with the Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934, and related rules, regulations, guidance and practices

Current knowledge of investment company regulations

Strong verbal and written communication skills with strong attention to detail

Strong research skills

Ability to manage multiple tasks simultaneously in a deadline driven environment as well as contribute to department and organizational special projects

Ability to work well independently and as a member of a team, which includes the ability to be flexible and adaptable

Strong proficiency in computer skills, specifically including document preparation and review in Word or similar applications; strong knowledge of Excel, Outlook and Teams

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 (https://careers.usbank.com/global/en/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

U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.

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 (https://careers.usbank.com/verification-of-eligibility-for-employment) .

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: $98,175.00 - $115,500.00

U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.

Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies.

Posting may be closed earlier due to high volume of applicants.

Similar Jobs

2026 Intern - Industrial Security

Northrop Grumman • El Segundo, CA • 7h ago

Legal & Paralegal

RELOCATION ASSISTANCE: Relocation assistance may be available CLEARANCE TYPE: Secret TRAVEL: Yes, 10% of the Time Description At Northrop Grumman, our employees have incredible opportunities to work on revolutionary syst...

7h ago

Go to Apply

Legal Secretary

Robert Half • Los Angeles, CA • 17h ago

Legal & Paralegal

Description We are looking for a skilled Legal Secretary to join our team on a contract basis in West Los Angeles (Sawtelle). This position offers the opportunity to work closely with attorneys and support the firm's lit...

17h ago

Go to Apply

Regulatory Senior Attorney

Southern California Edison • Rosemead, CA • 1d ago

Legal & Paralegal

Join the Clean Energy Revolution Become a Regulatory Senior Attorney at Southern California Edison (SCE) and build a better tomorrow. In this job, you'll be primarily responsible for advising internal client organization...

1d ago

Go to Apply

Regulatory Attorney

Southern California Edison • Rosemead, CA • 1d ago

Legal & Paralegal

Join the Clean Energy Revolution Become a Regulatory Attorney at Southern California Edison (SCE) and build a better tomorrow. In this job, you'll be primarily responsible for advising internal client organizations regar...

1d ago

Go to Apply

Regulatory Attorney

Southern California Edison • Rosemead, CA • 1d ago

Legal & Paralegal

1d ago

Go to Apply

Regulatory Senior Attorney

Southern California Edison • Rosemead, CA • 1d ago

Legal & Paralegal

1d ago

Go to Apply

Litigation Attorney (Remote)

Robert Half • Los Angeles, CA • 1d ago

Legal & Paralegal

Description An auto-consumer warranty firm is seeking California-licensed attorneys to work on a remote basis. This is a unique opportunity to be trained specifically to assist our client in conducting high-volume deposi...

1d ago

Go to Apply

Staff or Senior Staff Attorney , Workers' Compensation

The Hartford • Brea, CA • 1d ago

Legal & Paralegal

Sr Staff Attorney - LM07DEStaff Attorney - LM07EE We're determined to make a difference and are proud to be an insurance company that goes well beyond coverages and policies. Working here means having every opportunity t...

1d ago

Go to Apply

Legal Administrative Assistant

Robert Half • Los Angeles, CA • 1d ago

Legal & Paralegal

Description Robert Half Legal is partnering with a small, established trust and estates firm in Brentwood to assist in their search for a Part-Time Legal Administrative Assistant. This is a short-term, part-time contract...

1d ago

Go to Apply

Contract Recruiter (Manufacturing)

Aston Carter • Torrance, CA • 2d ago

Legal & Paralegal

Job Title: Contract Recruiter if you are interested in this opportunity, please feel free to apply and email me your resume at alalfaro @ astoncarter.com so we can schedule a time to connect asap! * Job Description We ar...

2d ago

Go to Apply

Subscribe to get new jobs sent directly to you
(no charge, cancel anytime)

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.