Role summary
Providing support on legal and regulatory requirements regarding Luxembourg-based UCITS funds and UK OEICs including drafting and ongoing legal review of prospectus and legal documentation for a variety of regulatory filings under the supervision of more senior associates. Every person in the team is responsible for legal, regulatory, and compliance work and is expected to work with other associates across multiple jurisdictions.
The precise requirements of the role will develop over time in response to changing needs of the business. However, initially we would expect the successful candidate to have the following main responsibilities:
Primary responsibilities/essential functions
- Drafting and ongoing legal review of fund legal documentation, including prospectus, KIDs/KIIDs, supplements and agreements for a variety of regulatory filings including new fund approval or amendments to existing funds.
- Drafting and reviewing fund contracts, including management, investment management, administration and depositary agreements.
- Helping to implement legal, compliance, and regulatory requirements regarding UK OEICs and Luxembourg-based UCITS funds (including UCITS rules, product governance and ESG requirements).
- Working on projects with relevant operational and business teams, including new fund launches and other funds related projects.
- Assisting other team members to supports need of internal business departments with responses to queries or troubleshooting issues as well as on interpretation of investment guidelines and restrictions/eligible assets.
- Assisting on interactions with attorneys, external counsel, and regulators on various issues with a focus on proposing and implementing changes or enhancements to business processes.
- Assisting on advising internal departments to ensure they are current with regulations and relevant regulatory changes.
- Participates in departmental and inter-departmental projects.
- Performs additional responsibilities as assigned.
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Skills/qualifications
- Good legal drafting skills.
- Fast learner who is willing to take on ownership for a wide array of tasks.
- Strong commitment to quality, accuracy and attention to detail.
- Effective written and oral communications skills with team members and managers.
- Ability to prioritize work and complete in a timely manner.
- Ability to collaborate and work effectively as part of a team.
- Ability to adapt to the needs of a growing business.
- Ability to maintain a high level of confidentiality and integrity.
- Ability to utilize technology to enhance and automate, refine, and streamline processes.
Core requirements
- Degree / 2+ years min work-experience
- Able to speak, draft and work in English; second European language a preference
In addition to a highly competitive base salary, per plan guidelines, restrictions and vesting requirements, you also will be eligible for an individual annual performance bonus, plus Capital's annual profitability bonus plus a retirement plan where Capital contributes 15% of your eligible earnings.
You can learn more about our compensation and benefits here.
* Temporary positions in Canada and the United States are excluded from the above mentioned compensation and benefit plans.
We are an equal opportunity employer, which means we comply with all federal, state and local laws that prohibit discrimination when making all decisions about employment. As equal opportunity employers, our policies prohibit unlawful discrimination on the basis of race, religion, color, national origin, ancestry, sex (including gender and gender identity), pregnancy, childbirth and related medical conditions, age, physical or mental disability, medical condition, genetic information, marital status, sexual orientation, citizenship status, AIDS/HIV status, political activities or affiliations, military or veteran status, status as a victim of domestic violence, assault or stalking or any other characteristic protected by federal, state or local law.