Senior Legal Administrator

Overview

The Senior Legal Administrator is responsible for leading legal administration services for mutual fund clients. This role involves preparing board materials and regulatory filings, managing regulatory calendars, providing legal, filing, and governance support, and handling various client-related matters.

Responsibilities

Legal Administration

• Prepare client registration statement updates.
• Prepare other client SEC filings and forms.
• Prepare and distribute client board and committee materials, including agendas, exhibits, reports, and resolutions.
• Prepare minutes of client board and committee meetings.
• Attend board and committee meetings by telephone or in person as requested to record notes.
• Maintain contractual agreements and corporate governance documents.
• Manage regulatory calendars and filing processes.
• Assist in developing and overseeing legal administration procedures related to board meetings, corporate governance, and SEC filings.
• Lead and assist with projects as needed.

Working Relationships

• Mentor associates through instruction, coaching, and providing on-the-job experiences.
• Serve as a primary legal contact for designated clients and represent the organization diplomatically.
• Coordinate with clients, fund counsel, internal teams, and other fund service providers regarding fund issues and assist in resolving client matters.
• Communicate with team members and internal departments regarding inquiries and workflow follow-up.

Additional duties may be assigned as required.

Requirements

Education and Experience

• Undergraduate degree from an accredited college or university.
• Paralegal certificate from an accredited institution.
• Minimum of 5 years of paralegal or legal administration experience in a corporate or law firm environment.
• At least 5 years of experience with the Investment Company Act of 1940.

Knowledge

• Financial services industry.
• Relevant statutes and rules related to core job functions.
• Investment Company Act of 1940.
• Proficiency with Microsoft Office Suite and Adobe Acrobat.

Skills and Abilities

• Strong client service skills with the ability to understand clients’ legal and business needs.
• Good judgment and decision-making capabilities.
• Ability to align associates with organizational values and goals.
• Planning and delegation skills.
• Ability to motivate and inspire others.
• Performance assessment and corrective action skills.
• Ability to develop systems and procedures to improve departmental quality and efficiency.
• Creative and critical thinking for troubleshooting issues.
• Strong multitasking, analytical, and organizational skills.
• Initiative-taking, strategic thinking, and meticulous attention to quality and efficiency.
• Personal integrity, responsibility, and accountability.
• Effective use of resources including time and information.
• Problem-solving and decision-making participation.
• Clear and concise written and oral communication skills.
• Active listening and support for open exchange of ideas.
• Ability to identify needs and obtain resources to meet goals.
• Establish and maintain effective working relationships in various situations.
• Flexibility to modify priorities and deadlines in response to changing conditions.

Equivalent education, experience, and knowledge, skills, and abilities will be considered.