Senior Legal Specialist

Senior Legal Specialist

The Senior Legal Specialist reports to the Director and Managing Legal Specialist and provides regulatory support for registration statements, supplements, proxy and merger filings, and related activities to ensure legal compliance with requirements and internal standards.

Position Responsibilities:

• Prepare and file SEC registration statements for open-end and closed-end funds.
• Draft and file proxy statements for open-end and closed-end fund proxy solicitations.
• Prepare and coordinate supplements, merger filings, and other fund disclosure documents and related activities.
• Review shareholder reports.
• Keep management, staff, and outside counsel informed of developments affecting assigned funds.
• Maintain current knowledge of regulatory and industry developments relevant to investment companies.
• Manage multiple projects and deadlines with minimal supervision, including overtime or work during peak holiday periods when needed.

Core Skills & Competencies:

• In-depth knowledge of mutual fund regulation and compliance, including the Investment Company Act of 1940 and the Securities Act of 1933.
• Experience with EDGAR and common-language databases; ArcPro experience is a plus but is not required.
• Strong attention to detail, organization, written and verbal communication, and commitment to high quality work.
• Ability to prioritize multiple projects, work under pressure, and meet deadlines in a demanding, fast paced, and fluid environment.
• Flexibility and adaptability in response to changing priorities, business needs, and regulatory requirements.
• Ability to work independently with minimal supervision while contributing effectively as a team member.
• High level of integrity, professionalism, collegiality, and respect in interactions with department members and business partners.

Strategic Impact & Key Challenges:

Supports the legal department in meeting SEC filing obligations and internal standards for open-end and closed-end funds.

Helps manage legal and regulatory risk through accurate, timely, and high-quality preparation and review of fund disclosure and shareholder materials.

Coordinates across management, legal staff, and outside counsel to keep assigned matters progressing and stakeholders informed.

Monitors regulatory and industry developments and applies current requirements to assigned fund work.

Balances overlapping filings, compressed deadlines, shifting priorities, and peak-period demands while maintaining accuracy and professionalism.

Required Qualifications:

• Bachelor of Science or Bachelor of Arts degree.
• At least seven years of experience preparing mutual fund prospectuses, registration statements, supplements, proxy statements, and other disclosure documents.
• Experience with open-end fund SEC filings and related disclosure requirements.
• Experience with closed-end funds is a plus.
• Working knowledge of EDGAR and common-language databases.
• Ability to work effectively and independently in a demanding, fast-paced, and fluid environment.
• Availability to work overtime as needed, including during some peak holiday periods.

When you join our team:

We'll empower you to learn and grow the career you want.

We'll recognize and support you in a flexible environment where well-being and inclusion are more than just words.

As part of our global team, we'll support you in shaping the future you want to see.