Regulatory Administration Legal Counsel

The Role & Key Responsibilities

Provide regulatory support for 1940 Act mutual funds and trusts including preparing fund documents and filings with the SEC, preparing board meeting materials, and working on other regulatory matters as directed by senior counsel. Coordinate data collection and review with colleagues, clients, law firms and other fund service providers. Ensure client deliverables are prepared timely and accurately and assist clients in addressing fund regulatory requirements. Work efficiently and effectively with fund counsel, trustees and other fund service providers.

• Prepare and review regulatory filings, including prospectuses, statements of additional information, proxy statements, supplements and fidelity bond filings;
• Prepare mutual fund board meeting materials;
• Record board meeting minutes;
• Prepare corporate governance documentation;
• Maintain fund compliance calendars;
• Work with fund counsels and trustees to respond to comments, answer questions and review and address regulatory matters;
• Work on projects as directed by senior counsel;
• Set priorities, meet deadlines and handle multiple projects in a fast-paced environment;
• Provide status updates to management on deliverables and escalate items as appropriate;
• Ensure deliverables are produced and reviewed to a high standard, in accordance with fund documentation, regulatory requirements and policies and procedures and delivered timely;
• Build strong working relationships with colleagues, clients, trustees and fund service providers;
• Collaborate with colleagues to identify and implement process improvements;
• Ensure all forms of communication are professional and appropriately address recipients;
• Contribute to a healthy and positive working environment;
• Provide cover to colleagues as required;
• Complete required training; and
• Act in accordance with the Apex's Code of Conduct and follow company procedures.

Skills Required

• A law degree with mutual fund industry or regulatory experience;
• Working knowledge of the Investment Company Act of 1940;
• Proven organizational skills;
• Demonstrated ability to multi-task;
• Demonstrated ability to prepare high quality work;
• Ability to work independently and problem solve;
• Attention to detail;
• Professional oral and written communication skills;
• Developed keyboard/typing skills; and
• Proficient with Microsoft Office products and ability to learn new software.

What you will get in return

• Experience supporting the legal and regulatory requirements of a variety of mutual fund trusts, including gaining expertise in the Investment Company Act of 1940 and using software to efficiently produce and file fund documents.
• Interact with colleagues, registered investment advisers, legal counsels and other fund service professionals.
• Flexibility to both work as a team and independently to meet deadlines and improve processes.
• Opportunity to work for a diverse and inclusive global financial services firm with operations in over forty countries.

• We pride ourselves in our commitment to fostering a connected and inclusive culture, all our opportunities at Apex have four (4) days in office requirement.
• Salary ranges from USD $ 100,000 - $ 120,000 additional market competitive variable uncapped compensation based on performance. Compensation within this range is dependent on individual's skills, experience and qualifications.