Mutual Fund Paralegal
About The Position
The Legal and Compliance Department is responsible for ensuring compliance with all of the legal and regulatory requirements to which we are subject, protecting the firm from regulatory and reputational risk across the globe, and strengthening the firm’s culture of compliance. We do this through collaborative partnership with the business units we support by providing thoughtful and timely advice. In addition, the department conducts global monitoring and training activities that detect, address and mitigate regulatory and reputational risk. The advice coupled with the monitoring and training activities provide the framework to support the firm’s business strategy and objectives while maintaining a high standard for integrity.
Requirements
- College degree.
- Minimum of five years’ experience as a paralegal in an in-house mutual fund legal department or 5- 10+ years' strong corporate/finance paralegal experience.
- Experience with Microsoft Office Suite and the ability to learn new databases/programs quickly.
Nice To Haves
- Paralegal certificate
- Experience working with open-end, closed-end, and exchange-traded funds.
- Knowledge of Diligent Boards software.
Responsibilities
- Assist attorneys with the preparation and update of fund registration statements including Part Cs, and supplements to prospectuses.
- Assist attorneys in the preparation of documentation related to the organization, reorganization, modification, and liquidation of funds.
- Assist in product development and mutual fund and ETF creations/launches.
- Assist with administrative projects including uploading and managing Board materials to Diligent and performing other duties relevant to Board materials.
- Coordinate, compile, organize and review agendas, resolutions, and materials for Board of Directors and Committee meetings; assemble and obtain applicable reports for Board Books.
- Assist in the preparation and execution of fund contracts.
- Review various disclosure documents required for assigned funds, including shareholder reports and N-CENS.
- Assist in the creation of proxy materials.
- Assist in the preparation and filing of Tender Offer documents for closed-end funds.
- Maintain internal document repositories--organize and maintain fund records for assigned funds, including electronic document and file management.
- Maintaining up-to-date listing of Officers and portfolio managers for our funds in databases.
- Develop and maintain “tickler” files and calendars for assigned funds to coordinate workflow and assure adherence to project timelines, due dates and regulatory deadlines
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
