Legal Analyst - Fund Disclosure & SEC Registration

DWS•Boston, MA

3d•Hybrid

About The Position

This role is with DWS Group, a global leader in investment management. The Legal Analyst will focus on fund disclosure and SEC registration, working closely with in-house legal counsel. The position involves preparing and reviewing various disclosure documents, managing the SEC registration process, and coordinating with internal and external parties to ensure accuracy and compliance with regulatory requirements. The role also includes participating in projects such as new fund launches and restructurings, and supporting other team members as needed. DWS is committed to fostering an inclusive culture and offers a platform for professional development and making an impact in the investment industry.

Requirements

BA/BS degree
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.
Asset management background (e.g., mutual funds, etc.)
Experience with the Investment Company Act of 1940.
Strong analytical and communication (written and verbal) skills.
Strong attention to detail.
Effective collaboration skills.
Must be flexible and 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.