The Investor Services Assistant Counsel reports to the Practice Lead or a Senior Investor Services Counsel within Corporate Secretary and Legal Administration (CSLA). CSLA provides full service corporate secretary and regulatory support services to a variety of mutual fund complexes including open-end and closed-end funds. Unregistered and non-US funds are serviced as well. CSLA also participates in US regulatory development initiatives and internal and external communications related to regulatory developments. The position will be a member of the CSLA teams assigned to client relationships.
Responsibilities include participating in the board book production process, attending client board meetings and preparing minutes from those meetings. Responsibilities also include preparing regulatory filings for both 1940 Act registered products, 1933/1934 Act registered products and related CFTC filings. Assistant Counsel will track regulatory changes, participate in senior level regulatory development meetings and participate in business initiatives to address regulatory changes.
- Client Servicing/Product Support Assistant Counsel will have day to day responsibility for several client relationships and provide corporate secretary and regulatory support to a variety of funds and clients.
- Prepare board and committee meeting materials.
- Attend board and committee meetings, take minutes and make presentations, such as providing regulatory updates.
- Prepare regulatory filings, including registration statements, supplements, proxy statements and filings associated with financial statements.
- Work with Counsel and/or Senior Counsel as principal legal liaison with senior level client officers, fund counsel, funds Trustees and auditors.
- Track regulatory changes and collaborate with team members in addressing how those changes impact clients and our product offering Risk and Control Utilize department procedures and controls, for example, regulatory calendars, production calendars, recurring board agenda and regulatory tracking matrix, as a means of maintaining a risk aware product environment.
- Continue to strengthen knowledge of and experience of federal securities laws with a focus on the Investment Company Act, the Investment Advisers Acts, and other laws, rules and regulations impacting our clients, to ensure that current regulatory requirements are being addressed and that CSLA services are not exposed to unnecessary regulatory or reputational risk.
- Analyze proposed and final rule changes and prepare summaries and analyses for internal and external use. Contribute to all hiring decisions within CSLA.
- Direct regulatory training initiatives across Service Delivery division. Lead cross departmental regulatory initiatives to address regulatory changes and resulting product solutions
- Participate in and contribute to internal senior level regulatory initiative committees
- Represent BBH on Investment Company Institute committees and participate on committee panels
Education level and/or relevant experience(s) JD required:
- MA Bar admission
- Prior mutual fund experience or related securities law experience
- Minimum of 3 + years direct experience mutual fund experience highly preferred
Knowledge and skills (general and technical)
- Excellent written and oral communication skills
- Analytical ability
- Ability to work well with others in team atmosphere
We are an equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, age, genetic information, creed, marital status, sexual orientation, gender identity, disability status, protected veteran status, or any other protected status under federal, state or local law.