Our client, a Global Investment Firm, is seeking a motivated and detail-oriented professional to join the Product Governance - Legal/Regulatory team, which ensures the suite of open-end, closed-end and exchange-traded funds meet their routine legal regulatory and filing obligations and works end-to-end on special product initiatives (new product launches, fund reorganizations and/or liquidations).
Legal or paralegal background preferred.
Experience at a law firm a plus.
Responsibilities:
Assists with updating fund registration statements on Forms N-1A, N-2 and S-3 and fund proxy statements.
Prepares and files forms under Section 16 of the Exchange Act, Forms N-CSR, N-PX and other routine SEC and NYSE filings for registered funds.
Assists in the review of fund shareholders' reports.
Works closely with senior members of the team to update fund disclosure and to organize, track and maintain disclosure updates.
Assists in preparation of Section 15(c) advisory contract renewal materials.
Prepares draft amendments to fund contracts, as needed.
Assists in preparation of board materials relating to special projects, as needed.
Monitors and updates internal databases to ensure accuracy as it pertains to certain fund data.
Maintains fund files and retrieves requests for fund documentation, as needed.
Work closely with and assist other members of the Product Governance - Legal/Regulatory team on routine matters and special projects.
Qualifications/Experience:
4-year College Degree.
Minimum 2+ years' experience in the mutual fund industry.
Legal or paralegal background preferred. Experience at a law firm a plus.
Understanding of U.S. registered funds (open-end funds, ETFs and/or closed-end funds), securities laws and regulations, and familiarity with some concepts of the Investment Company Act of 1940 ("1940 Act").
A resilient work ethic, including the ability to manage multiple responsibilities simultaneously, meet deadlines in a fast-paced environment, and remain nimble when priorities change.