Legal and Compliance Analyst

This range is provided by Green Key Resources. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Base pay range $90,000.00/yr - $120,000.00/yr Additional compensation types Annual Bonus About the Role Support the Legal Department in responding to all legal related inquiries and ensuring the Firm’s regulatory requirements under the Investment Advisers Act of 1940 and the Investment Company Act of 1940 are met. The Legal Analyst will report directly to the Chief Legal Officer. The role also requires providing administrative assistance to the Legal Department as needed. Key Responsibilities Regulatory Filings: Responsible for monitoring, preparing and filing various regulatory filings, including but not limited to: Form 13F, Form 13H, Schedule 13G, Form N-PX, Form 40-17G and CFTF Regulation 4.5. Registration Statements: Support Associate General Counsel and General Counsel in updating annual Registration Statements. Tasks include updating disclosures within the prospectus and SAI, arranging comments to the Registration Statement internally and with the auditor and Fund Counsel, updating Part C and exhibits to the Registration Statement, and arranging the printing and filing with DFIN. Foreign Account Openings: Responsible for arranging the opening of sub‑custody accounts in various jurisdictions. Board Books: Responsible for arranging Adviser and Fund Board Books for delivery to Directors and Trustees. Responsibilities also include preparing various Board reports. Class Actions: Coordinate the filing of class‑action litigations. Immigration: Coordinate the filing of H‑1B petitions and PERM petitions with immigration counsel. Insurance: Coordinate the renewal and review of insurance policies. New Product Launches: Support the Legal Department with the launch of new mutual funds, private funds, and other investment products. Overseas Entities: Support the Legal Department in maintaining registrations of the Firm’s overseas entities. Wall Crosses: Assisting with maintenance of restricted trades list and related communications with bankers. Administrative Duties: Providing administrative assistance to the Legal Department as needed, including: Managing calendars. Answering incoming calls and taking messages. Light travel coordination, including ground transportation, hotels, flights and expense reimbursements. Preparing materials for meetings and presentations, including agendas, hand‑outs, etc. Printing, scanning and copying documents. Assisting with board meeting setup. Qualifications Education and Experience: Bachelor’s Degree required. 3+ years of paralegal experience within the financial services industry (investment management preferred). Knowledge: Basic understanding of Investment Company Act of 1940 and Investment Advisers Act of 1940. Experience with Diligent BoardBooks a plus. Experience with EDGAR. Experience working with a financial printer. Skills and Abilities: Ability to handle multiple responsibilities across multiple entities and work independently. Ability to interact and communicate professionally and effectively. Ability to manage high volumes of work under tight deadlines while maintaining accuracy and minimizing risk. Experience with Microsoft Office required. Experience with Microsoft Excel required. Ability to work in team oriented environment. Seniority level Mid‑Senior level Employment type Full‑time Job function Finance #J-18808-Ljbffr Green Key Resources