Associate Chief of Staff, Legal and Risk Management
American Cancer Society
Specialist, Fund Governance Solutions
Northern Trust
full-time
Posted on:
Origin: • 🇺🇸 United States • Illinois, Massachusetts
Visit company websiteSalary
💰 $103,000 - $175,200 per year
Job Level
SeniorLead
About the role
- Work Model: Hybrid Major Duties: Engaging in consultative discussions on a wide range of legal matters that impact mutual funds with client senior management, including fund Chief Executive Officers, Chief Compliance Officers and Chief Financial Officers Actively engage in and manage the review and production of materials for client board meetings notices, agendas and resolutions Actively engage in and manage the production and filing of forms and notices with the SEC on behalf of mutual fund clients, including Forms N-1A, N-2, N-PX, and 24f-2 Attend client board meetings and record meeting minutes Manage and oversee the work of other professional on the team, including cultivating an ideas-driven collaborative work environment Perform research on issues regarding the 1940 Act and other mutual fund regulations, as needed Assist in client product development initiatives, including drafting of offering documents for new funds and drafting proxy and information statements Assist with response to SEC regulatory examinations and inquiries, as necessary Serve as a resource internally for 1940 Act compliance and related SEC rules and developments Assist with client development activities Knowledge: Excellent oral and written communication skills are required Strong attention to detail. Analytical and problem-solving skills are required. Ability to work independently and as part of a collaborative group is required. Excellent organizational and project management skills are required. Deep knowledge of the 1940 Act and the rule and regulations thereunder, as well as an understanding of other federal and state laws generally applicable to mutual funds and mutual fund operations Must have working knowledge of security types and investment mandates. Ability to establish good working relationships with clients, members of Boards of Trustees, Fund Counsels, chief compliance officers, auditors and financial printers. Ability to work under pressure and prioritize competing tasks. Must be highly flexible and adaptable to change. Knowledge of mutual fund operations preferred.
Requirements
- A minimum of ten (10) years of professional work experience in the financial services industry Six (6) years of experience working for a mutual fund organization (adviser or otherwise), a mutual fund administrator or service provider, the investment management practice of a law firm, or the SEC or other regulatory agency is required. A JD is preferred but not required. Candidates must have a college or university degree in Business Administration, Finance, Economics, Accounting, or related field and/or relevant proven work experience is required.
