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Job Description:We are seeking a dedicated and detail-oriented 1940 Act Mutual Fund Compliance Senior Specialist to join our Mutual Fund Administration team. This role is critical to ensuring that the firm's mutual funds comply with the requirements of the Investment Company Act of 1940 ("1940 Act") and other applicable securities regulations. The ideal candidate will oversee regulatory compliance related to N-Port, N-CSR filings, Sarbanes-Oxley Act (SOX) compliance, and tailored shareholder reporting coordination. The role also involves coordinating with senior management and other internal departments to ensure timely and accurate deliverables.Key Responsibilities:Regulatory Compliance Management: Oversee and ensure adherence to the 1940 Act, SEC regulations, and other applicable federal securities laws. Coordinate the timely and accurate filing of Form N-Port and Form N-CSR with the SEC, ensuring compliance with reporting requirements. Monitor updates to regulatory changes and assess the impact on fund operations and reporting. N-Port and N-CSR Filings: Prepare, review, and file Form N-Port, ensuring that portfolio holdings data and risk metrics are accurately reported. Oversee the preparation and filing of Form N-CSR, ensuring that financial statements, shareholder reports, and other required disclosures meet SEC and PCAOB standards. Sarbanes-Oxley (SOX) Compliance: Collaborate with internal stakeholders to ensure compliance with Sarbanes-Oxley requirements for mutual funds, including internal controls over financial reporting. Assist in the documentation and testing of internal controls and work with external auditors as needed. Tailored Shareholder Reporting: Lead the creation, review, and distribution of tailored shareholder reports, ensuring accuracy, regulatory compliance, and timeliness. Work with fund administration and internal teams to customize shareholder reports in line with fund-specific objectives, goals, and investment strategies, including quarterly and annual reports. Ensure that tailored reports address specific shareholder needs, including performance summaries, distribution breakdowns, and fund updates. Collaborate with marketing and investor relations teams to ensure reports meet investor communication standards and align with branding. Coordination with Fund Administrators: Work closely with external fund administrators to manage the preparation of the fund’s annual and semi-annual shareholder reports, including financial statements, management’s discussion and analysis (MD&A), and performance data. Review and validate the reports prepared by fund administrators, ensuring compliance with SEC regulations and the 1940 Act. Ensure that all reports are delivered on time to shareholders and filed with the SEC in accordance with regulatory deadlines. Collaboration with Senior Management and Internal Departments: Coordinate with senior management and key internal departments (e.g., legal, finance, operations, and marketing) to ensure timely and accurate delivery of all regulatory filings and shareholder communications. Collaborate with internal stakeholders to align fund reporting deliverables with broader company goals and deadlines. Ensure alignment across departments in the execution of key compliance initiatives and projects, facilitating smooth communication and timely resolution of issues. Regulatory Monitoring and Risk Assessment: Stay up-to-date with SEC regulations, industry trends, and best practices to ensure ongoing compliance with all applicable laws. Support internal audits and examinations related to mutual fund operations and regulatory compliance. Other Compliance Duties: Support the review and implementation of new compliance policies and procedures. Assist with the preparation and documentation for regulatory examinations and audits.Qualifications: Bachelor’s degree in finance, Accounting, Business Administration, or related field. Minimum of 5 years of experience in mutual fund compliance, preferably with expertise in the 1940 Act, SEC filings (N-Port, N-CSR), and Sarbanes-Oxley. Strong knowledge of mutual fund regulations, SEC reporting requirements, and the investment management industry. Familiarity with N-Port, N-CSR, Sarbanes-Oxley, and tailored shareholder reporting requirements. Experience with fund administration, compliance systems, and regulatory reporting tools. Excellent attention to detail, with strong organizational and analytical skills. Ability to work independently and collaboratively in a fast-paced environment. Strong written and verbal communication skills.