About This Role
This Legal Analyst position provides corporate secretarial and regulatory support services to select full-service mutual fund clients. The role involves preparing board materials, registration statements, and regulatory filings, reviewing advertising, and communicating awareness of regulatory changes under the direction of Legal Counsel.
Responsibilities
- Support Senior Counsel or Practice Leader in providing corporate secretarial and regulatory services to a variety of fund clients
- Prepare board and committee meeting materials, amendments to registration statements, proxy statements, Section 16 and Form NPX filings, and other regulatory filings for review by Counsel
- Draft compliance policies and procedures for review by Counsel
- Prepare various EDGAR and NYSE/AMEX filings for review by Counsel
- Prepare and submit various EDGAR filings under the supervision of Sr. Legal Analysts/Counsel
- Review regulatory filings prepared by Financial Reporting such as Form NSARs, Form NCSRs, and Form NQs; coordinate comments on such forms with Counsel
- Assist Counsel in responding to SEC requests for information
- Prepare and maintain board and regulatory calendars for clients
- Analyze proposed and final rule changes and prepare summaries and analyses for review by Counsel
- Acquire/strengthen knowledge of and experience with federal securities laws with a focus on the Investment Company and Investment Advisers Acts and other laws, rules, and regulations affecting mutual funds and exchange-traded funds
- Research, analyze, and prepare memoranda for Counsel on a variety of issues relating to the federal securities laws
- Coordinate the production and mailing of board and committee books
- Coordinate the production and mailing of compliance manuals
- Prepare and maintain change logs for compliance manuals
Requirements
- BS/BA degree and/or equivalent work experience
- 1 to 3 years of paralegal or related experience
- Paralegal certificate or comparable training required
- Communication skills
- Attention to detail
- Ability to drive open issues and projects to resolution
- Ability to successfully manage competing priorities
- Ability to work with others in team atmosphere
Nice to have:
- Understanding of Mutual fund operations and/or '40 Act experience
Benefits
- Annual Bonus Target
- Discretionary bonuses
- Profit-sharing
- Benefits that enhance your experience at BBH from long-term savings, healthcare, and income protection to professional development opportunities and time off
About the Company
Brown Brothers Harriman (BBH) is a premier global financial services firm known for premium service, specialist expertise, technology solutions, and a partnership approach to client management. The company works with sophisticated clients across Investor Services and Capital Partners. As a private partnership, BBH invests in relationships, technologies, products, and development that align with the long-term interests of its clients and people.
