Regulatory Administration Specialist

Overview

Skills Required

  • A University degree in Accountancy or equivalent/Final stages of ACCA qualification
  • An ability to work to and meet agreed deadlines
  • Ability to work under pressure
  • Competence in Excel, general IT and accounting packages
  • A minimum of 3 years’ experience in a similar role
  • Experience in audit would be ideal, but not necessary
Tab Item Content

Skills Required

  • A University degree in Accountancy or equivalent/Final stages of ACCA qualification
  • An ability to work to and meet agreed deadlines
  • Ability to work under pressure
  • Competence in Excel, general IT and accounting packages
  • A minimum of 3 years’ experience in a similar role
  • Experience in audit would be ideal, but not necessary
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Department:  Regulatory Administration

Employment Type: Full-time salaried employee

Provide regulatory administrative support for 1940 Act mutual funds and trusts including preparing fund documents and filing with the SEC, preparing board meeting materials and working on routine and other matters as directed by the legal team.  Coordinate data collection and review with colleagues, clients, law firms and other fund service providers.

  • Prepare and review regulatory filings, including prospectuses, statements of additional information, proxy statements, supplements and fidelity bond filings;
  • Prepare, maintain and manage distribution of board materials;
  • Coordinate board meetings;
  • Record board meeting minutes;
  • Maintain fund compliance calendars;
  • Work on projects as directed by management;
  • Set priorities, meet deadlines and handle multiple projects in a fast-paced environment;
  • Provide status updates to management on deliverables and escalate items as appropriate;
  • Ensure deliverables are produced and reviewed to a high standard, in accordance with fund documentation, regulatory requirements and policies and procedures and delivered timely;
  • Build strong working relationships with colleagues, clients, trustees and fund service providers;
  • Collaborate with colleagues to identify and implement process improvements;
  • Ensure all forms of communication are professional and appropriately address recipients;
  • Contribute to a healthy and positive working environment;
  • Provide cover to colleagues as required;
  • Complete required training; and
  • Act in accordance with the Apex’s Code of Conduct and follow company procedures.
  • Bachelors Degree with mutual fund industry or regulatory experience;
  • Working knowledge of the investment Company Act of 1940;
  • Proven organizational skills;
  • Demonstrated ability to multi-task;
  • Demonstrated ability to prepare high quality work;
  • Ability to work independently and problem solve;
  • Professional oral and written communication skills;
  • Developed keyboard/typing skills; and
  • Proficient with Microsoft Office products and ability to learn new software.
  • Experience supporting the legal and regulatory requirements of a variety of mutual fund trusts, including gaining expertise in the Investment Company Act of 1940 and using software to efficiently produce and file fund documents.
  • Interact with colleagues, registered investment advisers, legal counsels and other fund service professionals.
  • Flexibility to both work as a team and independently to meet deadlines and improve processes.
  • Opportunity to work for a diverse and inclusive global financial services firm with operations in over forty countries.

We are an equal opportunity employer and ensure that no applicant is subject to less favourable treatment on the grounds of gender, gender identity, marital status, race, colour, nationality, ethnicity, age, sexual orientation, socio-economic, responsibilities for dependants, physical or mental disability. Any hiring decision are made on the basis of skills, qualifications and experiences.

We measure our success as a business, not only by delivering great products and services and continually increasing our assets under administration and market share, but also by how we positively impact people, society and the planet.

For more information on our commitment to Corporate Social Responsibility (CSR) please visit https://theapexgroup.com/csr-policy/

If you are looking to take that next step in your career and are ready to work for a high performing organisation, alongside talented people who take pride in delivering great results, please submit your application (with your CV, cover letter and salary’s expectations) to our dedicated email address: [email protected]

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Life At Apex

"Working here I have the space to be creative, take ownership and develop continuously. It’s a great company with a purpose, which in turn enables its people to identify with the core values and mission."

Diane Mero, Office Manager, Dubai

What we look for

We look to recruit bright, articulate and numerate employees who are not afraid of a challenge and are prepared to work hard and love what they do. Every employee plays a part in making our business what it is today and the more we grow, the more important that becomes.

 

Whatever your career path, ambition or skillset you will be joining an entrepreneurial environment and become part of a globally connected team. We don’t just want you to succeed, we want you to flourish.

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