Senior Paralegal

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Senior Paralegal
Responsibilities: Complete monthly and quarterly compliance certifications for client accounts, as applicable, including reporting on investment company regulatory requirements, firm policy and procedure updates, liquidity, Code of Ethics changes and violations, firm personnel changes, brokerage commissions and soft dollar usage and regulatory and litigation involvement. Complete annual 15c, due diligence and 38a-1 responses for clients, including responses for the topics referred to above, as well as obtaining profitability data, investment product descriptions and current firm processes, practices and procedures using the firm’s compliance manual, Form ADV and proprietary databases as resources. Complete ad hoc responses for client requests, such as liquidity risk management, cybersecurity and business continuity questionnaires, and related topics of interest to investment company trustees or which have been the focus of SEC attention. Coordinate the internal review of investment company prospectuses, SAIs, supplements and portfolio of investments. Collaborate with internal groups, including investment teams, compliance, trading, client service and relationship management, on a variety of client matters. Review issuer proposals, review vendor research and apply the firm’s voting policy. Communicate with the firm’s Director of Proxy Voting on proxy related questions. Using the firm’s voting agent voting platform, enter votes on behalf of clients. Prepare and review client and N-PX voting history reports.

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