U.S. Bank Global Fund Services (GFS), a subsidiary of U.S. Bank, is one of the nation’s largest providers of services to mutual funds, exchange-traded funds (ETFs), and closed-end funds. The Regulatory Administration Paralegal role is part of the Regulatory Administration group within GFS, which supports fund clients in the preparation, filing, and ongoing maintenance of registration statements and related regulatory filings with the U.S. Securities and Exchange Commission (SEC).

Registration statements—including prospectuses—are legally required disclosure documents that provide investors with information regarding a fund’s investment strategy, risks, fees, and operational structure. These filings are governed primarily by the Investment Company Act of 1940 and the Securities Act of 1933 and are regulated by the SEC.

Each Regulatory Administration Paralegal serves as a key point of contact for GFS clients and plays an integral role in drafting and filing registration statements with the SEC. Paralegals collaborate closely with a team of GFS Regulatory Administration professionals to manage multiple, complex client and internal projects simultaneously. Successful candidates typically possess paralegal training or prior paralegal experience; experience with mutual funds, ETFs, closed-end funds, and SEC registration processes is strongly preferred.

Key Responsibilities

Regulatory Administration Paralegals are responsible for the following:

• Preparation of regulatory filings required under federal securities laws, including registration statements on Forms N‑1A and/or N‑2 and proxy statements on Schedule 14A or Form N‑14, using Wdesk, a document management and filing system.
• Coordination with internal partners and external clients to incorporate edits and updates to large, complex documents.
• Working with GFS Regulatory Administration professionals to plan and prepare materials for client board and shareholder meetings.
• Coordinating, drafting, and distributing documents, communications, resolutions, board meeting minutes, correspondence, and proxy statements among various parties involved in fund management and oversight.
• Project management of timelines and deadlines, often involving multiple regulatory filings occurring in close succession.
• Assisting with the development and implementation of departmental processes and policies.
• Training and mentoring new paralegals on role expectations, departmental processes, policies, and procedures.
• Tracking, reporting, and confirming project billing information.

Many of these responsibilities require direct interaction with internal supervisors and business lines, as well as external fund counsel, compliance officers, auditors, and investment advisers, often involving confidential matters. Regulatory Administration Paralegals are expected to establish, monitor, and maintain project timelines and may also be assigned additional projects or duties as needed.

Basic Qualifications

• Paralegal certification from an accredited program, or an equivalent combination of education and relevant experience.

Preferred Skills and Experience

• Energetic self-starter with strong organizational and proofreading skills.
• Excellent written and verbal communication skills, with above-average drafting and writing ability.
• Demonstrated resourcefulness and problem-solving skills.
• Ability to prioritize work and manage multiple projects concurrently.
• Strong proficiency with Microsoft Word and Excel, and the ability to quickly adapt to new systems and processes; experience with Wdesk or similar document management systems is a plus.
• Ability to work effectively both independently and as part of a team, often under tight deadlines.
• Strong general computer skills, including advanced typing proficiency.
• Working knowledge of SEC rules and regulatory filings applicable to mutual funds, ETFs, and closed-end funds.
• Associate’s degree required; relevant professional experience may be considered in lieu of a degree.
• Willingness to work occasional evenings or weekends during peak periods.