Assistant Counsel, Fund/Adviser Regulatory

The Assistant Counsel, Fund/Adviser -- Disclosure, Compliance, and Corporate Transactions will be an integral member of a team focused on providing accurate disclosures, ensuring regulatory compliance, and supporting transactional work of the Company. This role involves leading and contributing to timely completion of high-quality regulatory disclosures, implementation of regulatory compliance, and preparation of transactional documents. The role will also support the operations and administration of various fund- and adviser-related activities.

This role can be fully remote anywhere in the U.S. Or onsite, hybrid, or remote in Cincinnati, OH or New York, NY.

You will collaborate with vendors and outside counsel, and across Company departments including Investments, Fund Compliance, Legal, and Finance, to address evolving business needs and compliance with applicable regulations. This position offers the opportunity to drive critical processes and contribute to the Company's regulatory compliance and transactional efficiency. Some opportunities for travel may arise.

Your role and impact

Here's a glimpse of your responsibilities and the meaningful impact you'll create as the Assistant Counsel, Fund/Adviser:

• Assure accurate and timely disclosures related to mutual funds and registered investment adviser (Form N-1A, Form ADV, Large Trader reporting, etc.), by drafting and reviewing documents, and working with vendors and outside counsel;
• Work collaboratively across the organization to promote compliance with laws and regulations (personal securities transactions, fund-of-funds, anti-money laundering, etc.), and analyze and help implement new SEC regulations (Fund Names Rule, Anti-Money Laundering, etc.) and other applicable requirements;
• Draft, review, and help negotiate legal documents such as transactional documents and nondisclosure agreements;
• Help prepare informational materials for the Fund's board of directors for quarterly meetings and other oversight activities; respond to ongoing needs of the officers and directors of the organization;
• Help to resolve areas of regulatory risk; research and analyze potential solutions; think comprehensively about compliance and business solutions at the organization; and reinforce a strong culture of compliance across the organization;
• Develop and maintain expertise in regulatory law, the Company's business and products, and the investment industry, to provide legal advice and representation on matters related to the Company's business activities and investment products;
• Stay abreast of industry and regulatory developments affecting the Company, and maintain affiliations with relevant industry and compliance associations;
• Participate in special projects and perform other duties as assigned.
  
  
  

What's In It For You

• Competitive pay: Fair compensation for your hard work.
• Healthcare coverage: Comprehensive medical, dental, and vision from day one.
• Life insurance: Company-paid coverage for you and your loved ones.
• 401(k) plan: Matching contributions to help secure your financial future.
• Family support: Paid parental leave and reimbursement for adoption and surrogacy expenses.
• Work-life balance: Flexible time-off policy to recharge and pursue passions.
• Dress for your day: Express your style comfortably at work.
• Diversity and inclusion: A respectful environment that values unique contributions.
• Flexible work options: Remote, hybrid, and onsite opportunities at various locations across the U.S. for better work-life integration.
• Well-being focus: Programs to support a healthy balance between work and home life.
• Community connections: Build strong relationships through virtual and in-person interactions, with resources for your growth.
  
  
  

We're passionate about fostering an inclusive environment where everyone can thrive. Even if you don't meet every requirement, we encourage you to apply--your unique skills and experiences might make you the perfect fit for this role or another opportunity within our company.

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What Sets You Up For Success

• Juris doctor (JD) degree from an accredited law school in the United States
• Active member of the Bar
• Minimum of two to three (2 -- 3) years of experience, preferably with a mutual fund complex, investment adviser, financial services firm, government agency, regulatory body, or law firm (or combination). More experience is a plus.
• Knowledge or familiarity with regulation of mutual funds and investment advisers
• Experience with regulatory filings (preparing and administering filings with regulatory agencies) is a plus
• Experience with Investment Company Act and/or Investment Advisers Act regulatory compliance is a plus
• Strong written and oral communication skills, and analytical and problem-solving skills
• Team player with experience in building and fostering relationships
• Highly organized and able to carry out projects with minimal supervision