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Direct Hire: Regulatory Product Manager /Legal Product Manager or Paralegal

6njdnwj9glcb3dl46n5ovoc0nx0zj10101461byxg9ej2oh4odl1tz6jmfsr1m4v · 30+ days ago

Lincoln, MA, US

Negotiable

Full-time

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Direct Hire: Regulatory Product Manager /Legal Product Manager or Paralegal

Primary Responsibilities

The Product Manager is responsible for the administrative functions of the investment manager. Primary responsibilities include creating and updating time-sensitive regulatory documents for managing and addressing legal and compliance issues for the Funds. Some of the specific duties include:

Disclosure/Registration

Maintenance of registration statements including drafting and submitting to SEC through Edgar annual updates, off-cycle revisions, and supplements
Responsible for reviewing and submitting to the SEC through Edgar various disclosure documents including shareholder reports, N-SARs, 13-Fs
Produce and publish (print and online) disclosure documents, financial reports, portfolio holdings, proxy voting records
Draft registration statements (summary prospectus) prospectuses and SAIs for new funds/classes, proxy proposals, proxy statements
Coordinate electronic delivery of documents to shareholders with outside vendors, monitor delivery to ensure compliance

Corporate Governance

Draft mutual fund Board materials, including agendas, meeting notices, cover letters, memoranda, resolutions, minutes and all other corporate governance

Maintain files relating to documentation and disseminate to Trustees using BoardVantage

Responsible for the planning, preparation and execution of board and shareholder meetings

Assist in resolving comments on Board materials from fund counsel, auditors, and other reviewers

Preparation and review of investment manager contracts

Prepare and maintain Board calendars

Update and distribute annual questionnaires to officers, trustees/directors

Other:

Manage sub-custodian relationships including opening and maintaining sub custodian accounts and tax and power of attorney forms for sub custodians

Manage the annual renewal of fund and director’s insurance policies

Perform research and draft memoranda on issues regarding the Investment

Company Act of 1940 and other mutual fund regulations, as needed

Responsible for monitoring for new rules, regulations and laws that affect the Funds and/or the Advisor

Obtain appropriate securities licenses (Series 7 and 24) within a reasonable period of time after hire to support compliance functions of the affiliated
distributor (communications reviews)

Perform other duties as assigned

Education and Experience

Bachelor's degree required preferably business related

A minimum of five years’ experience working at a mutual fund complex, law firm, or mutual fund administrator

Knowledge and Skills

Knowledge of mutual fund regulations, including the Investment Company Act of 1940 and the Securities Act of 1933

Knowledge of investment adviser regulations, including the Investment Advisers Act of 1940

Excellent writing, oral communication, and interpersonal skills

Detailed oriented with a commitment to high-quality accurate work

Ability to work under pressure, meet deadlines, coordinate, and prioritize multiple tasks

Ability to work within a team environment as well as contribute independently
Strong analytical and problems solving skills

Excellent time management, organizational and follow-up skills to effectively plan and take tasks to completion within specified time frames

Strong proficiency in Microsoft Word, Excel, Adobe Acrobat and Edgar conversion software Eagerness to grow by taking on additional legal and/or compliance responsibilities relating to the Funds, the advisor and affiliated broker-dealer •

Last updated on Apr 24, 2014

About the company

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