Compliance amp Legal Analyst

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Compliance & Legal Analyst
Review of Fund and Adviser advertising for compliance with the Securities Act of 1933, the 1940 Act, and the Advisers Act, and SEC rules thereunder, and Financial Industry Regulatory Authority (FINRA) rules. Review communications (g., email, text, social media) of supervised persons of the Adviser. Request and review required reports by access persons of the Funds and the Adviser under the Code of Ethics. Monitor compliance by Adviser personnel with the political contributions policy. Support review, testing and writing of compliance policies and procedures. Support due diligence of sub-advisers and service providers (g., transfer agent, administrator and accounting agent, and distributor), including preparation of due diligence questionnaires (DDQs) and review of responses. Support the development of compliance training. Review and analysis of compliance reports received from sub-advisers. Support the production of annual CCO reports under Adviser Act Rule 206(4)-7 and 1940 Act Rule 38a-1. Daily review of market timing reports and respond in accordance with the Funds’ policy Mutual Fund Review the Funds’ filings with the U.S. Securities and Exchange Commission (“SEC”) on Forms 24F-2, N-1A, N-CEN, N-CSR, N-MFP, N-PORT, and Schedule 14C for compliance with SEC disclosure rules. Prepare the Fund’s filing with the SEC on Form N-PX and the Adviser’s filings on Forms 13F and 13H. Perform initial review of Fund and Adviser contracts under the supervision of the Managing Director, Compliance and Legal. Perform initial review of routine business requests for legal advice, and perform legal research and analyze basic legal issues under the direction of the Managing Director, Compliance and Legal. Support the corporate governance needs of the Adviser and the Funds. Support the launch of new Funds, benchmark changes. Prepare compliance reporting materials for meeting of the Funds’ Board of Trustees. Review of foreign market account opening and related documents. Verify maintenance of all required records in accordance with SEC rules under the Investment Company Act of 1940 (“1940 Act”) and the Investment Advisers Act of 1940 (“Advisers Act”) for the Funds and the Adviser.

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