Legal Analyst - Fund Disclosure & SEC Registration
Core
Prepare, review, and finalize SEC registration and fund disclosure documents (prospectuses, SAI, Parts C, annual reports) for mutual funds and ETFs, ensuring alignment with regulatory requirements.
Role type
Legal Analyst (Fund Disclosure & SEC Registration)
Builds
SEC filings and regulatory disclosure documents for mutual funds and ETFs
Domain
Asset Management / Securities Regulation
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
SEC registration process knowledge, Investment Company Act of 1940 expertise, prospectus document management system experience, XBRL tagging validation, regulatory compliance analysis, project coordination
Preferred skills
Asset management background, experience with fund administrators, AI tool utilization for workflow optimization
Technologies
XBRL, prospectus document management systems
Responsibilities
Prepare and review mutual fund and ETF disclosure documents; distribute and resolve SEC registration comments; finalize documents for SEC filing; coordinate with service providers and internal stakeholders; validate XBRL tagging; support new fund launches and restructurings
Seniority
Junior to Mid-level, hands-on IC