Overview In this role you will support fund clients by preparing and filing SEC registrations and related regulatory documents. You will liaise with regulators and support legal counsel on governance and compliance matters. You will prepare board materials and act as a regulatory resource for internal teams and clients. The work blends public filings, cross functional collaboration and project leadership in a regulated environment. This is a opportunity to influence fund compliance programs and regulatory strategy.
Compensation / Benefits- Healthcare (medical, dental, vision)
- 401(k) and employer-funded retirement
- Paid vacation
- Paid holidays
- Sick and Safe Leave
- Parental leave and adoption assistance
Responsibilities- Draft, review and prepare fund registration statements and updates for SEC filings
- Prepare supplements, exchange listing applications, exemptive relief applications, proxy statements and related filings for SEC submission
- Communicate with the SEC and other regulators on behalf of fund clients
- Prepare agendas, resolutions, agreements, policies and procedures and minutes for investment company board meetings
- Serve as a regulatory resource for fund clients and internal business lines on regulation and industry developments
Key requirements- Law Degree
- Licensed to practice in the applicable jurisdiction
- Eight or more years of related experience
- Strong interpersonal and collaboration skills
- Ability to lead and manage teams and complex projects
- Ability to work independently and as part of a cross-functional team
- Knowledge of the Investment Company Act of 1940 and related regulatory requirements
- Experience coordinating cross-functional initiatives and stakeholder alignment
- Regulatory filing and governance process expertise
