Regulatory Administration Legal Counsel

Apex Group • Portland, OR

5d • Onsite

About The Position

The Regulatory Administration Legal Counsel provides regulatory support for 1940 Act mutual funds and trusts. The role includes preparing fund documents and SEC filings, preparing board meeting materials, and supporting other regulatory matters as directed by senior counsel. The counsel coordinates data collection and review with colleagues, clients, law firms, and other fund service providers, and helps clients address fund regulatory requirements while ensuring deliverables are timely and accurate.

The position works with fund counsel, trustees, and other fund service providers to prepare and review regulatory filings and governance materials, maintain compliance calendars, and respond to regulatory questions and comments. It requires managing multiple projects and deadlines, communicating deliverable status to management, maintaining high-quality work, and collaborating on process improvements.

The role requires four days in the office. The stated salary range is USD $100,000–$120,000, with additional market-competitive uncapped variable compensation based on performance. Compensation within the range depends on the individual's skills, experience, and qualifications.

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 prepare 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

• Provide regulatory support for 1940 Act mutual funds and trusts, including preparing fund documents and SEC filings.
• Coordinate data collection and review with colleagues, clients, law firms, and other fund service providers.
• Ensure client deliverables are prepared accurately and on time, and assist clients with fund regulatory requirements.
• Prepare and review 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 meet fund documentation, regulatory, policy, and procedural requirements and are produced, reviewed, and delivered to a high standard and 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 and provide cover to colleagues as required.
• Complete required training and comply with the Apex Code of Conduct and company procedures.

Benefits

• Opportunity to gain expertise in the Investment Company Act of 1940 and use software to efficiently produce and file fund documents.
• Interaction with colleagues, registered investment advisers, legal counsel, and other fund service professionals.
• Flexibility to work both independently and as part of a team to meet deadlines and improve processes.
• Opportunity to work for a diverse and inclusive global financial services firm operating in over forty countries.
• Market-competitive uncapped variable compensation based on performance.

What This Job Offers

• Job Type: Full-time