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Organization TypePublic Interest
Years of Experience
Date Last Verified
ProfileCounsel, Securities Compliance The candidate will leads the preparation, review and filing of the Company’s regulatory filings by deadline. Responsible for maintaining the regulatory filing calendar, coordinating with outside counsel and third parties, and ensuring the completeness and accuracy of the filings by deadline. Leads multidisciplinary projects and serves as the internal legal expert in ensuring compliance with new regulatory requirements. Proactively works with colleagues to provide training and education and serve as a resource for regulatory questions. Keeps current on SEC, FINRA, and DOL rules, regulations, risk alerts, guidance and enforcement actions. Analyzes and recommends approach and amendments to applicable policies and procedures. Proactively works with Manager of Compliance in the successful adoption of amended policies and procedures. Leads the development of board and committee agendas based on the compliance calendar, conversations with the board chairman and Fund officers. Coordinates with outside counsel on the drafting of board resolutions. Ensures the proper notice of meeting and oversees the preparation and delivery of the board materials. Reviews incoming contracts and coordinates with Company stakeholders to produce redline responses. Leads and/or supports negotiations of contracts and ensures ongoing adherence to the contract terms. Develops and maintains the Company’s “Form of” contracts for shareholder servicing and investment advisory contracts based on business needs, industry trends and regulatory requirements. Represents the Funds on the SEC rules committee with the Investment Company Institute, the trade association for mutual funds. Effectively communicates activities and pertinent information covering areas of responsibility, both internally and externally, in writing and orally, as appropriate, to senior leaders, management and the Funds board of directors. Responsible for the proper security and disposal of any confidential information that he or she may possess in the course of performing this position's job duties, in accordance with firm’s Personnel and Administrative Policy and HIPAA Privacy and Security Policies and Procedures Manuals. JD degree is required. Must have 5-7 years of experience with mutual funds and/or investment advisers and applying the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933 and the Securities Exchange Act of 1933 to regulatory filings and an overall compliance program.
Req ID: IRC27666