Head of Legal Administration

Duties & Responsibilities

• This position will manage the group that assists our fund clients with preparation and maintenance of registration statements and related filings.
• The team will be responsible for initial drafts of legal registration documents.
• The team will work with fund counsel to obtain final approval.
• Additionally, this person will be responsible for our Registered Fund Solutions and Registered Fund Solutions II Trust boards.
• Working with board members, outside legal counsel, CCO and auditors.
• Scheduling board meetings, putting together the agenda and running the meetings as required by the board.
• Product manager for UMB sponsored RFS and RFS II Trusts.
• Develop/maintain strong working relationship(s) with clients, fund counsel, third‑party CCOs, auditors, board trustees, internal counsel, print vendors, EDGAR filers, etc.
• Maintain client confidentiality.
• Preparation/oversight of regulatory filings required under federal securities laws, including registration statements on Forms N-1A and N-2.
• Oversee the work of other Regulatory Administrators.
• Coordination with internal colleagues and external clients to incorporate their changes to large and complex documents.
• Working with outside counsel to plan and prepare for client board and shareholder meetings.
• Where necessary, serve as Secretary for those clients/complexes that require Secretarial services.
• Coordinating, drafting, and distributing legal documents, communications, resolutions, board meeting minutes, correspondence, and proxy statements among a variety of parties.
• Project management for deadlines that may require a variety of different filings close in time to each other.
• Monitoring and reporting on regulatory initiatives promulgated by various regulatory agencies such as the SEC and Financial Industry Regulatory Authority.
• Developing and implementing departmental processes and policies.
• Overseeing legal administration services billing.
• Provides technical, industry and client specific training and acts as a resource.
• Fosters a collaborative and innovative culture within the team.
• Manages associate time, salary, and performance records; initiates change of assignments, salary increases, conducts performance appraisals and management activities, and recommends staffing changes.
• Develop and communicate performance objectives and individual development plans.
• Collaborate with Human Resources on any disciplinary action needed.
• Manage team members workload and act as escalation point for any issues the team is experiencing.
• Assess training opportunities and develop training programs accordingly and present training materials to the department as needed.
• Work with assigned relationship manager for ensure onboarding execution.
• Partner with various internal/external parties to ensure compliance with SEC, IRS, and GAAP reporting regulations.
• Other duties as assigned.

• Strong organizational and regulatory documentation skills.
• Demonstrated ability to multi-task
• Demonstrated ability to perform effectively in a daily deadline driven environment
• Interpersonal communication and customer service skills
• Demonstrate initiative both independently and within a diverse team or with a diverse range of people
• Strong computer skills required, including excellent typing skills, and in-depth understanding of Microsoft Word
• Excellent analytical and organizational skills with strong attention to detail
• Problem solving and initiative-taking
• Advanced Microsoft Office skills and advanced Excel skills.
• Demonstrated aptitude and experience with in‑house software
• Demonstrated managerial and teamwork skills
• Strong understanding of the industry and the changing environment while anticipating client needs
• Good relationship development skills and an aptitude for…