Fund Disclosure & SEC Registration Legal Analyst

Deutsche Bank; Boston (MA); Hybrid; USD 70,000 - 130,000; Full time

Job summary

DWS Group in Boston is seeking a Legal Analyst to support SEC registration, mutual fund disclosure, and document management. You will coordinate with in-house counsel, service providers, and internal teams to ensure timely and compliant document production.

The role requires a BA/BS and 1+ years in SEC Registration or paralegal work within financial services, with an asset management background. Strong analytical and communication skills are essential, and experience with AI tools is a plus.

Qualifications

• BA/BS required; 1+ years SEC Registration process or corporate/securities paralegal experience in financial services or fund admin.
• Asset management background (mutual funds) and familiarity with the Investment Company Act of 1940.
• Experience with a prospectus document management system preferred.
• Strong analytical and written/verbal communication; attention to detail.
• Ability to manage multiple projects concurrently in fast-paced environment; collaborates well.

Responsibilities

• Prepare and review mutual fund and ETF disclosures and reporting documents with in-house counsel and document production tools.
• Distribute SEC registration documents for comment and resolve comments with guidance from counsel/manager.
• Finalize SEC registration documents for filing and coordinate distribution with relevant parties.
• Assist in drafting SEC comment/response letters and participate in calls with SEC examiners.
• Perform analytical reviews of fund disclosure and reporting documents (annual reports, Forms N-CEN, etc.).
• Validate inline XBRL tagging for consistency and regulatory alignment.
• Coordinate with service providers and internal teams to gather data and ensure regulatory compliance.
• Manage complex projects like new fund launches and restructurings; escalate issues with proposed resolutions.
• Assist in reviewing Board materials related to product matters.
• Develop knowledge of department procedures and participate in staff meetings.
• Provide support to team members as needed.

Skills

SEC Registration

Asset management

Document management

Analytical skills

Communication

Teamwork

AI tools

Education

BA/BS

Tools

Prospectus management system

Job description

DWS Group in Boston is seeking a Legal Analyst to support SEC registration, mutual fund disclosure, and document management. You will coordinate with in-house counsel, service providers, and internal teams to ensure timely and compliant document production.

The role requires a BA/BS and 1+ years in SEC Registration or paralegal work within financial services, with an asset management background. Strong analytical and communication skills are essential, and experience with AI tools is a plus.