Regulatory Administration Legal Counsel
About The Position
The Regulatory Administration Legal Counsel provides regulatory support for 1940 Act mutual funds and trusts. The role prepares fund documents and SEC filings, supports board meetings, and handles other regulatory matters as directed by senior counsel. It coordinates data collection and review with colleagues, clients, law firms, and other fund service providers, and helps clients meet fund regulatory requirements. The position works with fund counsel, trustees, and service providers to deliver accurate, timely, high-quality work in accordance with fund documentation, regulatory requirements, and company procedures. The role also maintains fund compliance calendars, manages multiple projects and deadlines, provides delivery updates to management, contributes to process improvements, and helps foster a professional, positive working environment. Apex requires employees in this opportunity to work in the office four days per week.
Requirements
- Law degree with mutual fund industry or regulatory experience.
- Working knowledge of the Investment Company Act of 1940.
- Proven organizational skills.
- Demonstrated ability to multitask.
- Demonstrated ability to produce high-quality work.
- Ability to work independently and solve problems.
- Attention to detail.
- Professional oral and written communication skills.
- Developed keyboard and typing skills.
- Proficiency with Microsoft Office products and ability to learn new software.
Responsibilities
- Prepare and review regulatory filings, including prospectuses, statements of additional information, proxy statements, supplements, and fidelity bond filings.
- Prepare mutual fund board meeting materials and record board meeting minutes.
- Prepare corporate governance documentation and maintain fund compliance calendars.
- Work with fund counsel and trustees to respond to comments, answer questions, and review and address regulatory matters.
- Work on projects as directed by senior counsel.
- Set priorities, meet deadlines, and manage multiple projects in a fast-paced environment.
- Provide management with status updates on deliverables and escalate items as appropriate.
- Ensure deliverables are produced and reviewed to a high standard, comply with fund documentation, regulatory requirements, policies, and procedures, and are delivered on time.
- Build strong working relationships with colleagues, clients, trustees, and fund service providers.
- Collaborate with colleagues to identify and implement process improvements.
- Communicate professionally and appropriately with recipients.
- Contribute to a healthy and positive working environment.
- Provide coverage to colleagues as required.
- Complete required training and comply with the Apex Code of Conduct and company procedures.
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What This Job Offers
Job Type
Full-time
