Vice President Counsel

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Vice President, Counsel
The candidate will prepare regulatory filings for mutual funds, including annual fund registration updates and post-effective amendments to add new fund series and classes. Take and respond to comments on fund disclosure documents given by SEC staff. Review/comment on various disclosure documents as assigned, including prospectuses, SAIs, Part Cs, supplements, proxy and information statements, N-14s, 24f-2s, shareholder reports, N-CSRs, N-CENs and N-PX. Research issues regarding disclosure requirements. Provide legal analysis of new regulations and provide ongoing regulatory advice and guidance related to the asset management industry. Represent Legal Administration at new product launch teams and other project teams, as assigned. Collaborate with internal/external partners in furtherance of timely product launches. Provide legal support and assistance for clients, including contract review/drafting and negotiation, legal research and interpretation of regulatory requirements. Special projects as assigned. Draft/review board memoranda, resolutions and other materials for quarterly Board meetings and Board committee meetings. Draft/review contracts for mutual funds, including, for example, advisory/sub-advisory agreements, distribution, transfer agency and custodian agreements, 12b-1 and shareholder servicing plans and related agreements. Draft/edit various documents required by governance actions scheduled or taken, including charter documents, letter agreements, and procedures. Draft/edit Board and Committee meeting minutes. Research issues regarding governance matters and requirements. Present before mutual fund Board of Trustees, as assigned.

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