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Years of Experience
Date Last Verified
Legal Counsel - Regulatory Administration The candidate will support the Senior Attorneys and provide oversight to the Paralegals in the provision of Board, regulatory and disclosure services to proprietary and 3rd party mutual fund complexes. Will draft and review mutual fund Board meeting materials, including agendas, meeting notices, cover letters, resolutions and all other corporate governance documentation. Resolve routine comments on Board materials from fund and in-house counsel, auditors and other reviewers. Oversee all aspects of the planning, preparation and execution of Board and shareholder meetings including reviewing and drafting of regulatory calendars, production calendars and responsibility matrices. Attend Board and Committee meetings and present as necessary. Draft, circulate and resolve comments to Board and Committee meeting minutes in a timely fashion. Prepare and review Board and regulatory calendars. Prepare, review and supervise the preparation of investment company regulatory filings and shareholder communications (including prospectuses, statements of additional information, financial statements, proxy materials, etc.). Prepare, edit and review drafts of all mutual fund SEC submissions to ensure that disclosure requirements are met. Oversee the group’s record retention program, including all electronic and hard storage, both on- and off-site. Responsible for the annual review and renewal of fund and director’s insurance policies. Perform research on issues regarding the Investment Company Act of 1940 and other mutual fund regulations, as needed. Assist on regulatory examinations and inquiries as necessary.
Qualification and Experience
The candidate must have experience within a mutual fund organization (adviser or otherwise), a mutual fund administrator (custodian, transfer agent or other service provider), the mutual fund practice of a law firm, or with the SEC or other regulatory agency. Management and strategic planning experience are desired. An understanding of the mutual fund industry and the laws that govern its activities is desired. Must have the ability to establish good working relationships with clients, members of Boards of Trustees, Fund Counsel, Chief Compliance Officers, auditors and financial printers. Excellent oral and written communication skills are required. Advanced proficiency with Microsoft Office (Outlook, Word, Excel, Access and PowerPoint) is a plus.
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