Lincoln Financial
Sr Consultant, Fund Admin, Regulatory
Lincoln Financial, Broomall, Pennsylvania, United States, 19008
Sr Consultant, Fund Admin, Regulatory
As a Senior Consultant, Fund Admin, Regulatory, you will prepare complex regulatory filings including the disclosure for prospectuses, Statements of Additional Information (SAIs), and supplements ("stickers"). Additionally, you will provide direction and subject matter expertise to applicable internal/external stakeholders on the requirements of Form N-1A (prospectus and SAI disclosure), the timing of filings, names rule requirements, and regulatory trends related to Fund SEC filings. Preferred experience working with AcrPro, EDGAR filing software, and legal document management software. Implementing various fund policies on books and records, including updating fee waiver agreements, expense reimbursement agreements, material contracts, proxy and information statements, advisory and sub-advisory agreements. Preparing complex regulatory filings including writing the disclosure for prospectuses, Statements of Additional Information (SAIs), and supplements (e.g. "stickers"). Leading the process for maintaining, updating, and organizing mutual fund registration documents and all exhibits, including complex contracts. Researching, evaluating and reporting on regulatory matters related to mutual fund registration documents and fund financial statements. Preparing SEC filings of funds and advises and coordinating the EDGAR filing process for complex fund SEC filings. Providing subject matter expertise and direction to internal/external stakeholders on a broad variety of matters related to SEC-registered investment funds and the Annual Update with the SEC of the registration statement for the funds. Facilitating the execution of quarterly and annual processes for SEC filings. Serving as the primary technical expert and liaison with the fund's financial printer and prospectus system. Providing subject matter expertise on Form N-1A (prospectus and SAI disclosure) technical requirements, timing of filings, and Names Rule requirements. Collaborating with appropriate stakeholders to ensure compliance in tracking new laws, regulations and industry developments and communicates developments and new procedures to internal stakeholders. Preparing board materials for quarterly fund and adviser board meetings. Analyzing trends and regulations, assessing the impact, and directing the implementation of new processes to incorporate new trends and/or ensure regulatory compliance. Managing, conducting and/or participating in complex projects. Providing effective and open communication with internal/external stakeholders to ensure transparency and consistency of regulatory filings. Preparing, updating and/or filing complex applicable reports, forms, and/or contracts. 4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's) (Minimum Required) 5
7+ Years of experience with mutual funds, investment advisers and/or service providers to mutual funds that directly aligns with the specific responsibilities for this position. (Required) Applications for this position will be accepted through August 9, 2025, subject to earlier closure due to applicant volume.
As a Senior Consultant, Fund Admin, Regulatory, you will prepare complex regulatory filings including the disclosure for prospectuses, Statements of Additional Information (SAIs), and supplements ("stickers"). Additionally, you will provide direction and subject matter expertise to applicable internal/external stakeholders on the requirements of Form N-1A (prospectus and SAI disclosure), the timing of filings, names rule requirements, and regulatory trends related to Fund SEC filings. Preferred experience working with AcrPro, EDGAR filing software, and legal document management software. Implementing various fund policies on books and records, including updating fee waiver agreements, expense reimbursement agreements, material contracts, proxy and information statements, advisory and sub-advisory agreements. Preparing complex regulatory filings including writing the disclosure for prospectuses, Statements of Additional Information (SAIs), and supplements (e.g. "stickers"). Leading the process for maintaining, updating, and organizing mutual fund registration documents and all exhibits, including complex contracts. Researching, evaluating and reporting on regulatory matters related to mutual fund registration documents and fund financial statements. Preparing SEC filings of funds and advises and coordinating the EDGAR filing process for complex fund SEC filings. Providing subject matter expertise and direction to internal/external stakeholders on a broad variety of matters related to SEC-registered investment funds and the Annual Update with the SEC of the registration statement for the funds. Facilitating the execution of quarterly and annual processes for SEC filings. Serving as the primary technical expert and liaison with the fund's financial printer and prospectus system. Providing subject matter expertise on Form N-1A (prospectus and SAI disclosure) technical requirements, timing of filings, and Names Rule requirements. Collaborating with appropriate stakeholders to ensure compliance in tracking new laws, regulations and industry developments and communicates developments and new procedures to internal stakeholders. Preparing board materials for quarterly fund and adviser board meetings. Analyzing trends and regulations, assessing the impact, and directing the implementation of new processes to incorporate new trends and/or ensure regulatory compliance. Managing, conducting and/or participating in complex projects. Providing effective and open communication with internal/external stakeholders to ensure transparency and consistency of regulatory filings. Preparing, updating and/or filing complex applicable reports, forms, and/or contracts. 4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's) (Minimum Required) 5
7+ Years of experience with mutual funds, investment advisers and/or service providers to mutual funds that directly aligns with the specific responsibilities for this position. (Required) Applications for this position will be accepted through August 9, 2025, subject to earlier closure due to applicant volume.