FP Regulatory Analyst

Job Description

Job Description

Description :

The primary goal of the Regulatory Analyst is to identify and implement upcoming regulatory changes. This involves researching, assessing, and summarizing proposed and finalized regulatory changes. The Regulatory Analyst coordinates with Regulatory Technology, Marketing, and Client Service teams to prepare for, communicate and adopt regulatory changes; both for clients and internal operations. Additionally, the Regulatory Analyst will contribute to strategic growth plans and Business Development initiatives, particularly for new business offerings related to regulatory updates.

The secondary goal of the Regulatory Analyst is to coordinate with the Client Service team to establish and maintain best practices for scalable client communication related to regulatory activity.

Responsibilities include :

• Digesting new rules and regulations adopted by the SEC and communicating with all internal parties on what changes FilePoint and our clients will need to be prepared for
• Preparing standardized language for marketing materials and client messaging, as it relates to the adoption of SEC rules, to be provided to all internal parties who will be communicating with clients.
• Participates in educating the team of any existing and / or new SEC rules by leading team trainings to communicate how this relates to their daily production work and the importance of the rule.
• Helps to oversee and support the Lead Drivers and Client Relationship Managers with client phone calls, reviewing their email communication before sending, and helping guide them on what we can do and what we cannot guarantee.
• Works closely with the Director of Client Services and Director of Regulatory Technology to identify where Regulatory expertise is needed and act as a support system on any internal projects that may require such expertise.

Attends a series of leadership meetings to discuss successes, pain points, and keep systems running smooth and connected :

Participation in Regulatory Technology, Marketing, and Client Services is recommended. The participation in any other FilePoint teams continues to be an optional opportunity.

Requirements :

Bachelor's Degree Legal Studies, Finance or related field OR Associates Degree in paralegal studies

Relevant work experience 3-5 years in law firm, corporate legal department is preferred

Specific experience handling matters related to the '40 Act such as mutual funds, ETFs and other investment companies

Familiar with SEC's EDGAR system

Proficiency in conducting legal research

Strong writing skills with the ability to draft, review and edit complex legal documents

Attention to detail