Legal Product Analyst

Posted 01/30/2023 By Jennifer Keane



Position Summary

The Legal Analyst position reports to Senior Counsel or Practice Leader. The Corporate Secretarial/Regulatory Group provides corporate secretarial and regulatory support services to select full-service Fund Administration mutual fund clients, including open end and closed end funds.

You will be responsible for evaluating, monitoring, and resolving issues in connection with providing legal services to you specific client(s) assigned, including: disclosure/ registration services, corporate secretarial/ governance services and other regulatory or legal support required.

Under the direction of Legal Counsel, services include preparing board materials, registration statements, proxy statements and other regulatory filings, reviewing and filing advertising and sales literature and communicating awareness of regulatory changes.

Principal Responsibilities

List and describe this position’s key responsibilities in concise, comprehensive statements. Address what the position holder does to achieve the position’s main purpose. Also check the approximate amount of time spent on each Area of Responsibility.

Area of Responsibility Key Activities/Elements % Time Spent

Paralegal Support

  • Support Senior Counsel or Practice Leader in providing corporate secretarial and regulatory services to a variety of fund clients.
  • Prepare board and committee meeting materials, amendments to registration statements, proxy statements, Section 16 and Form NPX filings and other regulatory filings for review by Counsel.
  • Draft compliance policies and procedures for review by Counsel.
  • Prepare various EDGAR and NYSE/AMEX filings for review by Counsel.
  • Prepare and submit various EDGAR filings under the supervision of Sr. Legal Analysts/Counsel.
  • Review regulatory filings prepared by Financial Reporting such as Form NSARs, Form NCSRs and Form NQs; coordinate comments on such forms with Counsel.
  • Assist Counsel in responding to SEC requests for information.
  • Prepare and maintain board and regulatory calendars for clients.

Area of Responsibility

  • Research and Analysis * Analyze proposed and final rule changes and prepare summaries and analyses for review by Counsel. * Acquire/strengthen knowledge of and experience with federal securities laws with a focus on the Investment Company and Investment Advisers Acts and other laws, rules and regulations affecting mutual funds and exchange traded funds. * Research, analyze and prepare memoranda for Counsel on a variety of issues relating to the federal securities laws. Under 20% 20% to 35% 36% to 50% Over 50%
  • Administrative Support * Coordinate the production and mailing of board and committee books. * Coordinate the production and mailing of compliance manuals. * Prepare and maintain change logs for compliance manuals.

Knowledge, Skills And Abilities

Education level and/or relevant experience(s) * BS/BA degree and/or equivalent work experience. * 5-6 years of paralegal or related experience. * Understanding of Mutual fund operations and/or '40 Act experience a plus.

Knowledge and skills (general and technical) * Communication skills. * Attention to detail. * Ability to drive open issues and projects to resolution. * Ability to successfully manage competing priorities. * Ability to work with others in team atmosphere.

Sorry, this position is filled.

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