Legal And Compliance Analyst

Overview

• Support the Legal Department in ensuring compliance with regulatory requirements under the Investment Advisers Act and Investment Company Act.
• Monitor, prepare, and file various regulatory filings, including Form 13F, Form 13H, and Schedule 13G.
• Assist in updating annual Registration Statements, including disclosures and exhibits.
• Coordinate foreign account openings and maintain registrations for overseas entities.
• Prepare Adviser and Fund Board Books and various Board reports for delivery to Directors and Trustees.
• Support the launch of new mutual funds, private funds, and other investment products.
• Provide administrative assistance, including managing calendars, travel coordination, and preparing meeting materials.
• Collaborate with immigration counsel for filing H-1B and PERM petitions.
• Coordinate renewal and review of insurance policies and manage class action litigations.

Key Responsibilities & Duties

• Prepare and file regulatory filings, ensuring accuracy and compliance with deadlines.
• Assist in updating and reviewing annual Registration Statements, including coordinating comments internally and externally.
• Coordinate the opening of sub-custody accounts and maintain overseas entity registrations.
• Prepare and deliver Adviser and Fund Board Books and reports to Directors and Trustees.
• Support new product launches, including mutual funds and private investment products.
• Provide administrative support, including calendar management, travel coordination, and meeting material preparation.
• Collaborate with immigration counsel for H-1B and PERM petition filings.
• Coordinate insurance policy renewals and manage class action litigation filings.
• Assist with maintenance of restricted trades lists and related communications.

Job Requirements

• Bachelor’s Degree required, preferably in a related field.
• Minimum of 3 years of paralegal experience within the financial services industry.
• Basic understanding of the Investment Company Act and Investment Advisers Act.
• Experience with Diligent BoardBooks and EDGAR systems preferred.
• Proficiency in Microsoft Office Suite, including Excel.
• Ability to manage high volumes of work under tight deadlines while maintaining accuracy.
• Strong communication and professional interaction skills.
• Experience working in a team-oriented environment and independently.
• Preferred experience with financial printers and regulatory filings.