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Years of Experience
Date Last Verified
Legal Disclosure/Board Support Paralegal The candidate will be responsible for on-going maintenance of mutual fund registrations, preparation of prospectuses, statements of additional information, supplements, and other regulatory filings for firm, firm Aspen Series, and Clayton Series Trust (CST). Responsible for supporting ETF registrations 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. Prepares and reviews registration statements and ongoing updates for IF, AS, and CST, as well as other regulatory filings and legal work related to the U.S. domiciled Trusts. Performs legal work related to creation and maintenance of new and existing funds. Collects and coordinates data and comments necessary for such regulatory updates. Prepares single fund standalone documents based on combined funds documents. Prepares regulatory filing packages for submission to the SEC. Maintains regulatory files. Reviews and coordinates comments in relation to various financial regulatory filings. Coordinates internal distribution of filings and associated documents. Performs occasional legal research.
Qualification and Experience
The candidate should preferably have 1+ year experience as a paralegal or equivalent. Should have Bachelorâ€™s degree or equivalent experience. Paralegal certificate or other legal training experience is preferred. Experience in the mutual fund/financial services industry is desired. Strong interpersonal and customer service skills is needed. Strong verbal and written communication skills is required. Strong analytical and research skills is essential. Intermediate computer skills, including Microsoft Word, Excel, and disclosure management software is needed.
Requisition Id: 16301
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