Legal Administration Director

Job Summary

Managing a team of legal administration staff, the full-time Head of Legal Administration will oversee the preparation and maintenance of regulatory filings for fund clients, coordinate board meetings, and ensure compliance with SEC regulations in a remote work environment.

Key responsibilities:

• Oversee the preparation and oversight of regulatory filings required under federal securities laws
• Manage relationships with clients, fund counsel, auditors, and board members while coordinating board meetings and agendas
• Develop and implement departmental processes and policies, fostering a collaborative team culture

Required qualifications:

• 15 years of experience preparing regulatory filings for fund structures under the Investment Company Act of 1940
• 5 years of lead experience within the registered funds industry
• Bachelor's degree or equivalent combination of education and experience
• Strong understanding of SEC and FINRA rules applicable to registered products
• Demonstrated managerial skills and experience in performance management