Role details

Funds Legal Analyst

Manhattan   •   USD1 - USD1,000,000   •  Permanent

Bullet points

  • Top-Tier Asset Management Firm
  • Seeking a Legal Analyst for its Mutual Funds Group

About Our Client

Top-Tier Asset Management Firm

Job Description

* Support 1940 Act attorneys with maintaining, updating and organizing mutual fund registration documents and all exhibits
* Support attorneys and compliance personnel in tracking new laws, regulations and industry developments and assist in communicating developments and new procedures to business personnel
* Support attorneys in drafting board materials for quarterly fund and adviser board meetings
* Review marketing materials and make any necessary FINRA filings
* Review routine SEC filings of funds and adviser and handle EDGAR filing process for all fund SEC filings
* Research, retrieve, and organize fund and adviser records and assist attorneys with corporate governance matters
* Coordinate with internal and external fund counsel on mutual fund filings including registration statements, proxy statements and prospectus stickers
* Work with marketing department and vendors to distribute fund prospectuses, proxy statements and prospectus supplements
* Prepare and file forms under Sec. 16 of the Exchange Act
* Prepare and file corporate governance forms and correspondence with the New York Stock Exchange
* Coordinate with sub-advised clients and provide information for their fund filings

The Successful Applicant

* 2 - 4 years applicable experience, primarily in an asset management
* Knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940 and Security Act of 1933 a plus
* Law firm background or mutual fund legal or compliance background is strongly preferred
* Excellent oral, organizational and writing skills are required.
* Very strong analytical, project management and leadership skills
* Ability to interact with personnel from all levels of the organization
* Ability to multi-task and prioritize workload to meet deadlines in a fast-paced, dynamic environment
* Experience developing and analyzing exception reports a plus
* Highly motivated, detail oriented and able to work independently

What's on Offer

Competitive salary plus full benefits

Apply for this job

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