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

Regulatory Product Manager /Legal Product Manager or Paralegal

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