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Paralegal Specialist
Lincoln Financial Group
Radnor, PA, United States
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The Role
This position will perform and deliver on regular assignments and projects for his/her assigned area. S/he will prepare regulatory filings including the disclosure for prospectuses, Statements of Additional Information (SAIs), and supplements (“stickers”) for mutual fund registration; prepare contracts, amendments, resolutions and other board materials; and participate in other tasks as needed.
Responsibilities
• Prepares regulatory filings including the disclosure for prospectuses, Statements of Additional Information (SAIs), and supplements (e.g. “stickers”).
• Maintains, updates, and organizes mutual fund registration documents, exhibits, and contracts.
• Drafts and updates board resolutions, contracts, and legal correspondence.
• Researches, evaluates and reports on routine regulatory matters related to mutual fund registration documents and fund financial statements.
• Prepares and reviews SEC filings of funds and coordinates the EDGAR filing process for fund SEC filings.
• Facilitates execution of routine quarterly and annual process for SEC filings.
• Serves as a point of contact for questions; conducts research, responds to and/or reports on less complex regulatory filing matters related to SEC-registered investment funds and the Annual Update with the SEC of the registration statement for the funds.
• Provides responses to internal stakeholders on Form N-1A (prospectus and SAI disclosure) technical requirements, timing of filings, and Names Rule requirements.
• Collaborates with appropriate stakeholders to obtain necessary information for tracking new laws, regulations and industry developments and communicates developments and new procedures to internal stakeholders.
• Prepares board materials for quarterly fund and adviser board meetings.
• Tracks and monitors regulatory filings/supplements to ensure deadlines are met.
• Participates in projects for his/her assigned area(s).
• Provides effective and open communication with internal/external stakeholders to ensure transparency and consistency of regulatory filings.
• Prepares, updates and/or files applicable reports, forms, and/or contracts for his/her assigned area(s) of responsibility.
• Maintains knowledge on current and emerging developments/trends for assigned area(s) of responsibility, assesses the impact, and collaborates with management to incorporate new trends and developments in current and future solutions.
• Promotes and enhances organizational initiatives by positively influencing and supporting change management and/or departmental/enterprise initiatives within assigned area(s) of responsibility.
• Performs and delivers on routine assignments/projects while simultaneously leveraging and applying knowledge of his/her assigned area(s) of responsibility.
• Identifies and communicates to management process improvements that reduce workloads or improve quality for his/her assigned area(s) of responsibility.
• Carries out duties in compliance with all state and federal regulations and guidelines. Complies with all company and site policies and procedures.
• Remains current in profession and industry trends.
• Makes a positive contribution as demonstrated by: - Making suggestions for improvement - Learning new skills, procedures and processes
• Performs other duties as required.
Education
• 4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's)
• 1 - 3+ Years of experience with mutual funds, investment advisers and/or service providers to mutual funds that directly aligns with the specific responsibilities for this position