Product Governance Analyst

2 weeks ago


Philadelphia, United States Select Recruiting Group, LLC Full time

Job Description:

Our client, a Global Investment Firm, is seeking a motivated and detail-oriented professional to join the Product Governance – Legal/Regulatory team, which ensures the suite of open-end, closed-end and exchange-traded funds meet their routine legal regulatory and filing obligations and works end-to-end on special product initiatives (new product launches, fund reorganizations and/or liquidations).


  • Legal or paralegal background preferred.
  • Experience at a law firm a plus.


Responsibilities:

  • Assists with updating fund registration statements on Forms N-1A, N-2 and S-3 and fund proxy statements.
  • Prepares and files forms under Section 16 of the Exchange Act, Forms N-CSR, N-PX and other routine SEC and NYSE filings for registered funds.
  • Assists in the review of fund shareholders' reports.
  • Works closely with senior members of the team to update fund disclosure and to organize, track and maintain disclosure updates.
  • Assists in preparation of Section 15(c) advisory contract renewal materials.
  • Prepares draft amendments to fund contracts, as needed.
  • Assists in preparation of board materials relating to special projects, as needed.
  • Monitors and updates internal databases to ensure accuracy as it pertains to certain fund data.
  • Maintains fund files and retrieves requests for fund documentation, as needed.
  • Work closely with and assist other members of the Product Governance - Legal/Regulatory team on routine matters and special projects.


Qualifications/Experience:

  • 4-year College Degree.
  • Minimum 2+ years’ experience in the mutual fund industry.
  • Legal or paralegal background preferred. Experience at a law firm a plus.
  • Understanding of U.S. registered funds (open-end funds, ETFs and/or closed-end funds), securities laws and regulations, and familiarity with some concepts of the Investment Company Act of 1940 (“1940 Act”).
  • A resilient work ethic, including the ability to manage multiple responsibilities simultaneously, meet deadlines in a fast-paced environment, and remain nimble when priorities change.
  • Experience with DocuBuilder a plus.



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