Senior Legal Specialist

In general, this position will be responsible for assisting one or more attorneys in carrying out the mission of the Legal Department. An individual in this position will be expected to develop subject matter expertise in one or more specific legal or regulatory areas and perform related tasks with minimal supervision. In addition, an individual in this position should have a solid understanding of the business area(s) he or she is serving, including its goals, function, procedures and operations#ENTRY_LEVEL

Form N-1A is used by open-end management investment companies (mutual funds) to register with the U.S. Securities Exchange Commission under the Investment Company Act of 1940 and to offer their shares under the Securities Act of 1933. The registration statement is designed to provide investors with information that will assist them in making a decision about investing in a fund. The disclosure portion of the registration statement is divided into a prospectus and statement of additional information (SAI). Once the fund is registered, the registration statement must be updated at least annually to reflect revised financial statements and whenever material changes occur.

Serve as project manager for assigned existing and new fund registrations.

Prepare, review and produce of fund registration statements and other disclosure documents (e.g., summary prospectus, prospectus, statement of additional information, proxies, supplements, shareholder reports, etc.) for assigned existing and new funds.

Organize, maintain, and use database or other document management systems; implement procedures and revise as needed to keep current.

Gather and analyze routine information necessary for regulatory or other purposes; answer routine questions from within and without company and make simple inquiries of regulators and others.

Review prospectuses and other disclosure documents for sub-advised third party funds for assigned relationships.

In addition to registration statements, there are a number of related filings that must be made with the SEC through its electronic filing system (EDGAR).

Create and maintain fund and other legal files and records, and team policies and procedures; provide administrative support for attorneys as necessary.

Work on special projects with paralegals and/or attorneys. Act as team leader for other non-exempt staff by assisting with basic training and support.

Coordinate and process annual and new N-1A filings for registered funds (and/or classes)

Creating edition in content management system (CAPs) Coordinate and participate in portfolio manager (PM) and other attorney meetings Requesting appropriate documentation including N-1A data sheets, indirect fees, sub-advisor (if needed) Research including next updates files, prospectus supplements, review board minutes, annual reports, agreements Reviewing, working through and updating documents based on approved fund counsel and other comments Updating CAPs

Building of new funds into CAPs

Updating content in fund documents

Rebuilding tables, updating manually for some tables

Updating foot notes

Revise tax sections upon advice from attorney

Making necessary proofs and blacklines

Ensure that all form changes get incorporated in our Pro/SAI form documents to maintain language consistency Review of documents (ongoing throughout N-1A update), sending for internal, fund counsel and PM. Make all necessary updates and also self-review of documents. Finalizing the documents and communicating with necessary parties Add files to hot folder for posting to FT websites.

Prepare and file annual Form N-1A and related filings, including drafting wrap pages and letters, such as 485a, 485b, 497K, 497J and XBRL File financial forms on SEC Publisher, as 24f-2 and 40-17f2 Review final file from financial publisher for certain forms (N-Q and N-CSR) Prepare and file other forms as needed

Reorganizations (N-14)

New Funds (485(a))

Proxy (14A)

SEC Correspondence

Coordinate and process prospectus supplements (stickers)

Incorporating any comments that have been validated to be included in the sticker Updating summary prospectus when required Coordinating the typesetting process with Creative Services or PPM (depending on time constraints) to finalize sticker; if needed, consult with appropriate parties on who can insert the sticker if it needs to be mailed (is it going out via special mailing or included with SH Report or next quarterly asset summary statement) Insert sticker into Pro(s) and/or SAI(s) for posting on the website Troubleshoot any issues and if needed, submit an incident ticket if documents fail to post on the web

Provide support on projects as necessary

Bachelor s degree or associate degree with an emphasis on Paralegal studies or equivalent work

About four years of relevant corporate experience.

Directly related experience in legal/compliance role for an asset management or financial services company a plus but not essential

Previous job history and training demonstrate:

Excellent research, comprehension, analytical and decision-making skills

Eexcellent interpersonal skills; proven ability to inform and influence decision making

excellent communication skills; in-depth experience in drafting, editing and proofreading detailed correspondence, documents, reports and complex legal forms

Professional skills necessary to independently manage multiple complex projects involving confidential and detailed information.

Ability to work independently

Knowledge of proper English usage, grammar, spelling, vocabulary and of generally accepted office practices, procedures and equipment

Ability to communicate effectively both orally and in writing

Excellent research, comprehension, analytical, proofreading and decision making; pays close attention to detail

Professionally and confidently interact with all levels of internal and external contacts; establish and maintain productive working relationships, resolving conflicts and exchanging pertinent information to meet common objectives

Ability to remain flexible and work under pressure

Advanced knowledge of business desktop applications ( i.e. , Microsoft Word, Excel, PowerPoint, Access Project, Windows, Visio, etc.) required

Excellent planning, project management and progress reporting skills

Ability to maintain confidentiality

Ability to organize and prioritize workflow

Ability to maintain updated knowledge of procedures, products and activities of assigned area

Ability to perform multiple tasks in a fast-paced, team environment

Strong administrative and organizational skills and ability to accept responsibility for final work product.

Works under very general supervision; work is reviewed for accuracy

Work is performed under general direction; participates in determining objectives of assignment; work is reviewed for adequacy in meeting objectives; manages own activities in accomplishing objectives

Solve problems of moderate scope and complexity, refers to policies and practices for guidance

Exercise discretion and judgment in independently determining best course of action within scope of delegated responsibilities

Initiate or recommend realistic solutions that are consistent with regulatory requirements and corporate guidelines and policies

Plan, schedule and arrange own activities to efficiently accomplish objectives of multiple assignments within required timelines, resolving conflicts as necessary to accomplish goals

Work comfortably in an office setting using standard office equipment

Maintain a competent, professional image