Legal Analyst - Fund Disclosure & SEC Registration

DWS Group • Boston, MA

4d • $70,000 - $130,000 • Hybrid

About The Position

About DWS:
Today, markets face a whole new set of pressures – but also a whole lot of opportunity too. Opportunity to innovate differently. Opportunity to invest responsibly. And opportunity to make change.
Join us at DWS, and you can be part of an industry-leading firm with a global presence. You can lead ambitious opportunities and shape the future of investing. You can support our clients, local communities, and the environment.
We’re looking for creative thinkers and innovators to join us as the world continues to transform. As whole markets change, one thing remains clear; our people always work together to capture the opportunities of tomorrow. That’s why we are ‘Investors for a new now’.
As investors on behalf of our clients, it is our role to find investment solutions. Ensuring the best possible foundation for our clients’ financial future. And in return, we’ll give you the support and platform to develop new skills, make an impact and work alongside some of the industry’s greatest thought leaders. This is your chance to achieve your goals and lead an extraordinary career.
Read more about DWS and who we are here.

Requirements

• Requires a BA/BS, preferably with a minimum of 1+ 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.
• Candidate should have an asset management background (e.g., mutual funds, etc.) and experience with the Investment Company Act of 1940.
• Strong analytical and communication (written and verbal) skills, strong attention to detail and effective collaboration skills are required.
• Must be flexible and be able to work effectively and independently on multiple projects concurrently in a fast-paced environment, while maintaining the highest standards and attention to detail.
• Work collaboratively with others; exhibit strong teamwork skill
• Proven ability to leverage AI tools to enhance productivity, optimise workflows to solve business problems, while applying critical judgment to ensure responsible and ethical use of data and AI outputs.

Nice To Haves

• Experience working in a prospectus document management system is preferred.

Responsibilities

• Prepare and review mutual fund and ETF disclosure and reporting documents, working with an in-house legal counsel and in a document production tool (including, but not limited to, prospectuses, statements of additional information, supplements and Parts C).
• Distribute SEC registration documents for comment; analyze, process and resolve comments; and escalate issues and proposed solutions to in-house legal counsel and/or manager, as appropriate.
• Finalize SEC registration documents for SEC filing, print and electronic distribution; coordinate with all appropriate parties in the timely production of those documents.
• Together with reviewing attorney, participate in calls with SEC examiner and prepare draft SEC comment/response letters for filing with the SEC.
• Perform detailed analytical reviews of fund disclosure and reporting documents (including, but not limited to, annual reports, Forms N-CEN, etc.).
• Validate in-line XBRL (eXtensible Business Reporting Language) tagging in documents to ensure consistency, completeness and alignment of structured data with regulatory requirements.
• Coordinate with service providers (including fund counsel, auditors, and fund accounting agents) and internal parties (including board governance, tax, compliance, product, portfolio management, senior management) in obtaining and/or finalizing data and disclosure for all documents, ensuring accuracy and alignment with regulatory requirements.
• Complete complex projects as assigned, including new fund launches and restructurings. Communicate status of these projects to manager while appropriately escalating issues, along with proposed resolutions.
• Assist in the review of certain Board materials, including Board memoranda relating to product matters.
• Develop and maintain working knowledge of department procedures and actively participate in staff and workgroup meetings.
• Provide support to other members of the team, as needed.

Benefits

• Access to a range of benefits which you can choose from to create a personalized plan unique to your lifestyle.
• Physical, emotional, and financial wellness benefits that allow our colleagues to stay financially secure and strike balance between work and home.
• Flexible work arrangements

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level