| Legal and Compliance
The following positions are available in this department:
Legal Product Manager
Legal Product Manager
Overall Summary
The Associate Legal Product Manager is responsible for evaluating, monitoring, and assisting in providing legal administrative services to client(s) assigned, including: disclosure/registration services, corporate secretarial/governance services, and other regulatory or legal support required.
Major Responsibilities
Disclosure/Regulation
- Coordinate the preparation of regulatory filings for mutual funds assigned
- Develop familiarity with the funds assigned and the regulatory framework involved
- Using shared language library as appropriate, draft/edit various disclosure documents required for assigned funds, including prospectuses, SAIs, supplements, proxy and information statements, 24f-2s and Part C
- Review various disclosure documents required for assigned funds, including shareholder reports and N-SAR
- Identify and research issues raised in preparing/reviewing disclosure documents including comments from reviewers
- Coordinate with publishing and/or designated printer for filing documents using EDGAR system as required
- Develop, maintain and monitor tickler files and calendars to coordinate workflow and adhere to project timelines, due dates and regulatory deadlines
Corporate Secretarial/Governance
- Coordinate the preparation of various memoranda and other documents relating to mutual fund corporate governance matters assigned
- Develop familiarity with the funds assigned and the regulatory framework involved
- Coordinate the compilation of Board and/or Committee materials
- Draft/edit various documents required by governance actions scheduled or taken, including charter documents, contracts, and procedures
- Review Board and/or Committee materials prepared by others
- Identify and research issues raised in preparing/reviewing governance documents including comments from reviewers
- Develop, maintain and monitor tickler files and calendars to coordinate workflow and adhere to project timelines, due dates and regulatory deadlines
Other
- Special projects as assigned, which may include one or more of the following:
- Blue Sky liaison
- Fidelity Bond or Massachusetts Annual Voluntary Associations filings
- Department coordinator for business continuity
- Departmental administrative assistant oversight
- Coordinator for trustee website, shared language library administrator
Experience/Skills Required
- 2 + years of financial services or paralegal experience required
- Knowledge of mutual fund industry and 1940 Act required
- Excellent organizational skills
- Attention to detail
- Strong familiarity with Microsoft Office products
- Project management skills
- Associates or Bachelors Degree or comparable business experience
In return for your expertise, we offer a salary fully
commensurate with your solid qualifications, a bonus program, and a comprehensive,
flexible benefits package with retirement and 401(k) plans.
For confidential consideration, you may submit your résumé
in one of two ways. Please be sure to indicate salary requirements and reference
the position of interest.
Equal Opportunity Employer. No agencies please.
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