Fund Regulatory & Compliance Analyst

Brown Brothers Harriman; Boston (MA); On-site; USD 65,000 - 90,000; Full time

Job summary

Brown Brothers Harriman in Boston seeks a Legal Analyst to support corporate secretarial and regulatory services for mutual funds. You will prepare board materials, registration statements, proxy statements, and EDGAR filings under Counsel’s supervision.

Work with Senior Counsel and Practice Leaders, learn federal securities laws applicable to mutual funds and ETFs, and help maintain calendars, manuals, and compliance processes in a collaborative environment.

Qualifications

• BS/BA degree and/or equivalent work experience.
• 1 to 3 years of paralegal or related experience.
• Understanding of Mutual fund operations and/or '40 Act experience a plus.
• Paralegal certificate or comparable training required.

Responsibilities

• Paralegal support for corporate secretarial and regulatory services to fund clients.
• Prepare board and committee meeting materials, amendments to registration statements, proxy statements and other regulatory filings for review by Counsel.
• Draft compliance policies and procedures for review by Counsel.
• Prepare EDGAR and NYSE/AMEX filings for review by Counsel.
• Review regulatory filings and coordinate comments with Counsel.
• Assist Counsel in responding to SEC requests for information.

Skills

Communication skills

Attention to detail

Ability to drive open issues

Ability to manage competing priorities

Teamwork

Education

BS/BA degree or equivalent

Paralegal certificate or training

Job description

Brown Brothers Harriman in Boston seeks a Legal Analyst to support corporate secretarial and regulatory services for mutual funds. You will prepare board materials, registration statements, proxy statements, and EDGAR filings under Counsel’s supervision.

Work with Senior Counsel and Practice Leaders, learn federal securities laws applicable to mutual funds and ETFs, and help maintain calendars, manuals, and compliance processes in a collaborative environment.