Legal Affairs Manager
Core
Supporting registered investment companies with legal and regulatory activities, including creating and filing registration statements and disclosure documents under the 1940 Act, Securities Act, and Exchange Act.
Role type
Legal Affairs Manager (Asset Management)
Builds
Disclosure documents, registration statements, and regulatory compliance support for investment companies.
Domain
Financial Services / Asset Management / Securities Law
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
interpreting and applying legal requirements for registered investment companies, coordinating input from business lines and outside counsel, managing multiple ongoing assignments, writing legal documents
Preferred skills
supporting collective investment trusts, understanding SEC regulations, knowledge of corporate governance matters
Technologies
Investment Company Act of 1940, Securities Act of 1933, Securities Exchange Act of 1934
Responsibilities
Coordinating the creation, updating, and filing of registration statement post-effective amendments and prospectuses; soliciting input from business lines, outside counsel, and accountants for disclosure documents; providing legal support for investment advisory business and compliance with SEC regulations; assisting with corporate governance matters
Seniority
Mid-level, hands-on IC