Sr. Manager, Legal & Regulatory Services
Core
Lead and support a team responsible for the preparation, review, coordination, and filing of regulatory disclosure documents across a range of investment products.
Role type
Senior Manager, Legal & Regulatory Services
Builds
Legal disclosure documents (prospectuses, etc.) for mutual funds, ETFs, and registered investment products
Domain
Asset Management / Securities Regulation
Required skills
Team leadership, resource allocation, strategic project management, process oversight, regulatory expertise, cross-functional collaboration, SEC filing expertise, disclosure document management, content management tools, procedural development
Preferred skills
Investment Company Act of 1940 knowledge, people leadership, project management, technology aptitude, disclosure analysis, influence skills, creative problem-solving
Technologies
Content management tools, workflow automation solutions
Responsibilities
Lead, coach, and develop a team of disclosure professionals; oversee use of content management tools for drafting and maintaining legal disclosure documents; serve as subject matter expert for SEC filings under the Securities Act of 1933 and Investment Company Act of 1940; coordinate new product launches and strategic initiatives; identify opportunities to improve efficiency, quality, controls, and scalability across disclosure operations
Seniority
Senior, hands-on IC with management responsibilities