Senior Legal Analyst

Min 5 yrs required

Full-time

No

Senior Legal Analyst
Responsibilities: Provide review and drafting support for fund disclosure and reporting documents, working with an assigned attorney and in a document production tool, for mutual fund and ETF SEC registration statements (including, but not limited to, prospectuses, statements of additional information, supplements and Part Cs). Distribute SEC registration documents for comment; analyze, process and resolve comments; and escalate to in-house attorney and/or manager, as appropriate, issues and proposed solutions. Finalize SEC registration documents for print, electronic distribution as well as SEC filing; coordinate with all appropriate parties in the timely production of those documents. Review fund disclosure and reporting documents (including, but not limited to, annual and semi-annual reports, N-CENs, etc.). Coordinate with service providers and internal parties (board governance, tax, compliance, product, portfolio management, senior management) in obtaining and/or finalizing data and disclosure for all documents. Manage disclosure projects that benefit the team (., Board templates, standard language). Complete complex projects as assigned, including new fund launches. Communicate status of these projects while appropriately escalating issues, along with proposed resolutions, to the manager. Assist in the review of certain Board materials, including Board memoranda relating to product matters.

Requisition ID: R0226250

Qualification and Experience Qualifications: BA/BS with 5+ years of SEC Registration process or corporate/securities paralegal experience, preferably in the legal department of a financial services company or with a fund administrator. Experience working in a prospectus document management system is preferred. Should have an asset management background (e.g., mutual funds, etc.) and experience with the Investment Company Act of 1940. Strong analytical, written, and oral communication, attention to detail, and relationship-building skills are required. Must be flexible and be able to work effectively and independently on multiple projects in a fast-paced environment. Ability to handle multiple tasks and projects concurrently while maintaining the highest standards and attention to detail.

Legal