Senior Consultant, Fund Governance Solutions (FGS)
About Northern Trust:
Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889.
Northern Trust is proud to provide innovative financial services and guidance to the world's most successful individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity.
With more than 130 years of financial experience and over 22,000 partners, we serve the world's most sophisticated clients using leading technology and exceptional service.
The Fund Governance Solutions Group combines Regulatory Administration and Compliance Support resources to support our client's regulatory needs.
These groups are made up of experienced industry professionals, including attorneys, who are able to work with our client's internal teams to plan filings and Board meetings and to provide regulatory and compliance support to clients.
With minimal oversight or direct supervision, the Senior Consultant position will be responsible for the documentation and preparation of complex regulatory filings and reports; the drafting and preparation of Board and committee materials; the participation in compliance functions; and the oversight of team activities related to Board and committee meeting support, disclosure, and new fund or product launches.
Key
Responsibilities:
1.
Review and production of materials for client Board meetings, including regular, special and organizational meetings.
2.
Attend client Board meetings and record meeting minutes; and discuss regulatory, compliance, and other matters.
3.
Draft client Board memoranda for issues affecting client or fund complex.
4.
Manage corporate governance matters for series trust clients 5.
Prepare and maintain Board and regulatory calendars.
6.
Support the preparation, review and editing of investment company regulatory filings.
7.
Perform research on issues regarding the Investment Company Act of 1940 and other mutual fund regulations as needed.
8.
Assist in client product development initiatives, including drafting and offering documents for new funds and drafting proxy and information statements.
9.
Assist on SEC regulatory examinations as necessary.
10.
Review the work performed by consultants and other professionals in the group.
11.
Serve as resource internally for compliance and related SEC rules and developments.
12.
Participate in new business opportunities, including the review and analysis of needs and the design of solutions.
13.
Support Sales efforts.
Qualifications:
- A College or University degree in Business Administration, Finance, Economics, Accounting, or related field and/or relevant proven work experience is required.
- A minimum of 3-5 years of experience working for a mutual fund organization (adviser or otherwise), a mutual fund administrator or service provider, the investment management practice of a law firm, or with the SEC or other regulatory agency is required.
- Excellent oral and written communication skills are required - Strong attention to detail.
- Analytical and problem-solving skills are required.
- Ability to work independently and as part of a collaborative group is required.
- Excellent organizational and project management skills are required.
- Knowledge of the Investment Company Act of 1940, as amended, is required.
- Must have working knowledge of security types and investment mandates.
- Ability to establish good working relationships with clients, members of Boards of Trustees, Fund Counsels, chief compliance officers, auditors and financial printers.
- Ability to work under pressure and prioritize competing tasks.
- Must be highly flexible and adaptable to change.
- Knowledge of mutual fund operations preferred.
Working with Us:
As a Northern Trust partner, greater achievements await.
You will be part of a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas.
Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to assisting the communities we serve! Join a workplace with a greater purpose.
We'd love to learn more about how your interests and experience could be a fit with one of the world's most admired and sustainable companies! Build your career with us and apply today.
#MadeForGreater Reasonable accommodation Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities.
If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at email protected .
We hope you're excited about the role and the opportunity to work with us.
We value an inclusive workplace and understand flexibility means different things to different people.
Apply today and talk to us about your flexible working requirements and together we can achieve greater.
Recommended Skills Adaptability Analytical Attention To Detail Business Administration Communication Economy Estimated Salary: $20 to $28 per hour based on qualifications.
Northern Trust, a Fortune 500 company, is a globally recognized, award-winning financial institution that has been in continuous operation since 1889.
Northern Trust is proud to provide innovative financial services and guidance to the world's most successful individuals, families, and institutions by remaining true to our enduring principles of service, expertise, and integrity.
With more than 130 years of financial experience and over 22,000 partners, we serve the world's most sophisticated clients using leading technology and exceptional service.
The Fund Governance Solutions Group combines Regulatory Administration and Compliance Support resources to support our client's regulatory needs.
These groups are made up of experienced industry professionals, including attorneys, who are able to work with our client's internal teams to plan filings and Board meetings and to provide regulatory and compliance support to clients.
With minimal oversight or direct supervision, the Senior Consultant position will be responsible for the documentation and preparation of complex regulatory filings and reports; the drafting and preparation of Board and committee materials; the participation in compliance functions; and the oversight of team activities related to Board and committee meeting support, disclosure, and new fund or product launches.
Key
Responsibilities:
1.
Review and production of materials for client Board meetings, including regular, special and organizational meetings.
2.
Attend client Board meetings and record meeting minutes; and discuss regulatory, compliance, and other matters.
3.
Draft client Board memoranda for issues affecting client or fund complex.
4.
Manage corporate governance matters for series trust clients 5.
Prepare and maintain Board and regulatory calendars.
6.
Support the preparation, review and editing of investment company regulatory filings.
7.
Perform research on issues regarding the Investment Company Act of 1940 and other mutual fund regulations as needed.
8.
Assist in client product development initiatives, including drafting and offering documents for new funds and drafting proxy and information statements.
9.
Assist on SEC regulatory examinations as necessary.
10.
Review the work performed by consultants and other professionals in the group.
11.
Serve as resource internally for compliance and related SEC rules and developments.
12.
Participate in new business opportunities, including the review and analysis of needs and the design of solutions.
13.
Support Sales efforts.
Qualifications:
- A College or University degree in Business Administration, Finance, Economics, Accounting, or related field and/or relevant proven work experience is required.
- A minimum of 3-5 years of experience working for a mutual fund organization (adviser or otherwise), a mutual fund administrator or service provider, the investment management practice of a law firm, or with the SEC or other regulatory agency is required.
- Excellent oral and written communication skills are required - Strong attention to detail.
- Analytical and problem-solving skills are required.
- Ability to work independently and as part of a collaborative group is required.
- Excellent organizational and project management skills are required.
- Knowledge of the Investment Company Act of 1940, as amended, is required.
- Must have working knowledge of security types and investment mandates.
- Ability to establish good working relationships with clients, members of Boards of Trustees, Fund Counsels, chief compliance officers, auditors and financial printers.
- Ability to work under pressure and prioritize competing tasks.
- Must be highly flexible and adaptable to change.
- Knowledge of mutual fund operations preferred.
Working with Us:
As a Northern Trust partner, greater achievements await.
You will be part of a flexible and collaborative work culture in an organization where financial strength and stability is an asset that emboldens us to explore new ideas.
Movement within the organization is encouraged, senior leaders are accessible, and you can take pride in working for a company committed to assisting the communities we serve! Join a workplace with a greater purpose.
We'd love to learn more about how your interests and experience could be a fit with one of the world's most admired and sustainable companies! Build your career with us and apply today.
#MadeForGreater Reasonable accommodation Northern Trust is committed to working with and providing reasonable accommodations to individuals with disabilities.
If you need a reasonable accommodation for any part of the employment process, please email our HR Service Center at email protected .
We hope you're excited about the role and the opportunity to work with us.
We value an inclusive workplace and understand flexibility means different things to different people.
Apply today and talk to us about your flexible working requirements and together we can achieve greater.
Recommended Skills Adaptability Analytical Attention To Detail Business Administration Communication Economy Estimated Salary: $20 to $28 per hour based on qualifications.
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