Paralegal

Loomis Sayles•Boston, MA

3d•Hybrid

About The Position

This is a paralegal replacement position within the Legal and Compliance Department, reporting to the Senior Legal and Compliance Manager and the Director of Proxy Voting. The role will have primary responsibility in the preparation and delivery of investment company client reporting, serving as point of contact for two or more assigned clients, and assisting with other special department projects as assigned. The paralegal is expected to exercise sound judgment, manage workflows, and contribute to process improvements and best practices across Legal Reporting and Proxy Voting. The paralegal will interact regularly with many functional areas within Loomis Sayles, the firm’s sub-advisory client base, and the proxy voting function. Additionally, the role will support other members of the Legal and Compliance Department in carrying out the Department’s broader responsibilities for the firm, as needed.

Requirements

3-5 years of relevant paralegal or legal operations experience
investment industry and/or 1940 Act mutual fund experience strongly preferred
Bachelor’s degree or equivalent professional experience required
Demonstrated ability to prioritize and manage multiple projects independently, and exercise sound judgment on complex matters.
Excellent oral and written communication skills, with the ability to interact professionally with internal stakeholders and clients.
Detail-oriented, highly organized, and comfortable working in a deadline-driven, regulatory environment, including the ability to work extended hours if needed.

Nice To Haves

Formal paralegal education or certification preferred.

Responsibilities

Prepare quarterly and annual compliance reports and certifications for client accounts, including reporting on investment company regulatory requirements, firm policy and procedure updates, liquidity, Code of Ethics changes and violations, firm personnel changes, brokerage commissions, soft dollar usage, and regulatory and litigation matters.
Respond to and prepare annual 15(c), due diligence and 38a-1 requests, including topics referred to above, as well as working with subject matter experts across the firm to obtain profitability data, investment product descriptions and current firm processes, practices and procedures while utilizing the firm’s compliance manual, Form ADV, internal resources and the firm’s proprietary databases.
Respond to complex ad hoc client requests and regulatory questionnaires (e.g., liquidity risk management, cybersecurity, business continuity, artificial intelligence, and other industry specific topics of interest to investment company trustees or which have been the focus of SEC attention).
Coordinate and oversee the internal distribution and review of investment company prospectuses, SAIs, supplements, and portfolio of investments/statement of investments, ensuring accuracy, consistency, and timely completion.
Collaborate with internal groups, including investment, compliance, trading, client service, relationship management and finance, on a variety of client matters.
Review shareholder meeting agenda proposals and applicable vendor research in order to make vote determinations in accordance with the firm’s proxy voting policy
Coordinate and communicate with the firm’s Director of Proxy Voting on proxy related questions
Using the firm’s voting agent voting platform, enter votes on behalf of clients
Review and maintain proxy voting databases through coordination with internal and external parties
Prepare and review client and N-PX voting history reports
Oversee the firm’s Share Recall process
Prepare foreign-domiciled Power of Attorney forms and file them, as necessary, with the relevant parties. Manage and track this process through out the year.
Additional responsibilities as assigned by the firm’s Director of Proxy Voting