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Years of Experience
Date Last Verified
Senior Legal Disclosure Manager The candidate will be responsible for ongoing maintenance of complex mutual fund registrations and preparation of complex prospectuses, statements of additional information, supplements, and other regulatory filings for Investment Fund, Aspen Series, and Series Trust. Responsible for supporting ETF registration and other regulatory filings, and reviewing various financial-related regulatory filings, such as annual and semiannual shareholder reports, quarterly portfolio holdings reports, and annual proxy voting reports. Provides guidance and direction, and supervises the work activities of lower level staff. Prepares and reviews complex registration statements and ongoing updates for as well as other regulatory filings and legal work related to the U.S. domiciled Trusts. Performs legal disclosure work related to creation and maintenance of new and existing funds. Collects and coordinates data and comments necessary for such regulatory updates. Coordinates typesetting/editing/printing of documents with internal/external clients and vendors. Prepares regulatory filing packages for submission to the SEC. Maintains regulatory files. Reviews and coordinates internal and external comments in relation to various regulatory filings, including shareholder reports, proxy statements, N-SAR, N-PX, and 24F-2 filings. Coordinates internal distribution of filings and associated documents. Performs occasional legal research. Provides guidance and direction, and supervises the work activities of lower level staff. Directly supervises the work activities of lower level staff, including planning, allocating, monitoring work and making decisions regarding employment, performance appraisal, training, salary adjustments and related personnel actions.
Qualification and Experience
The candidate must have 5+ years of experience as a paralegal. Should have Bachelor's degree or equivalent. Paralegal certification is required. Some formal training in negotiation techniques is preferred Experience in the mutual fund/financial services industry is needed. Experience in mutual fund disclosure is must. Knowledge and understanding of Securities and Exchange Commission Forms, primarily N-1A and N-CSR is needed. Advanced computer skills, including Microsoft Word, Excel, and disclosure management software is essential.
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