Regulatory Administration Legal Counsel
Core
Provide regulatory support for 1940 Act mutual funds and trusts, including preparing fund documents, filings with the SEC, and board meeting materials.
Role type
Legal Counsel (Regulatory Administration)
Builds
Regulatory filings, board materials, and corporate governance documentation for mutual funds.
Domain
Financial Services / Investment Management
Required skills
Law degree, knowledge of Investment Company Act of 1940, regulatory filing preparation, board meeting coordination, corporate governance documentation, compliance calendar management, stakeholder communication, process improvement.
Preferred skills
Mutual fund industry experience, proficiency with Microsoft Office, ability to learn new software.
Technologies
Microsoft Office
Responsibilities
Prepare and review regulatory filings (prospectuses, SAI, proxy statements), prepare mutual fund board meeting materials, record board meeting minutes, maintain fund compliance calendars, respond to regulatory comments, collaborate with fund counsels and trustees, implement process improvements.
Seniority
Mid-Senior, hands-on IC