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Who You'll Work With:
We are looking for a Mutual Fund (’40 Act) Paralegal to join our Mutual Fund Legal Group in a fast paced and dynamic environment. Your impact as both an individual contributor and a team member is critical to the success of the team.
What You'll Do:
The Legal and Compliance Department is responsible for ensuring compliance with all of the legal and regulatory requirements to which we are subject, protecting the firm from regulatory and reputational risk across the globe, and strengthening the firm’s culture of compliance. We do this through collaborative partnership with the business units we support by providing thoughtful and timely advice. In addition, the department conducts global monitoring and training activities that detect, address and mitigate regulatory and reputational risk. The advice coupled with the monitoring and training activities provide the framework to support the firm’s business strategy and objectives while maintaining a high standard for integrity.
Assist attorneys with the preparation and update of fund registration statements including Part Cs, and supplements to prospectuses.
Assist attorneys in the preparation of documentation related to the organization, reorganization, modification, and liquidation of funds.
Assist in product development and mutual fund and ETF creations/launches. Assist with administrative projects including uploading and managing Board materials to Diligent and performing other duties relevant to Board materials.
Coordinate, compile, organize and review agendas, resolutions, and materials for Board of Directors and Committee meetings; assemble and obtain applicable reports for Board Books.
Assist in the preparation and execution of fund contracts.
Review various disclosure documents required for assigned funds, including shareholder reports and N-CENS.
Assist in the creation of proxy materials. Assist in the preparation and filing of Tender Offer documents for closed-end funds.
Maintain internal document repositories--organize and maintain fund records for assigned funds, including electronic document and file management.
Maintaining up-to-date listing of Officers and portfolio managers for our funds in databases.
Develop and maintain “tickler” files and calendars for assigned funds to coordinate workflow and assure adherence to project timelines, due dates and regulatory deadlines
What We're Looking For:
The Mutual Fund Legal Group is responsible for coordinating and supervising the legal aspects of our domestic, US registered funds, including ETFs and closed-end funds. AB’s funds complex currently consists of over 90 portfolios covering a broad range of investment services including alternatives, equity, fixed income and multi-asset funds.
College degree.
Minimum of five years’ experience as a paralegal in an in-house mutual fund legal department or comparable law firm experience.
Experience with Microsoft Office Suite and the ability to learn new databases/programs quickly.
Paralegal certificate
Experience working with open-end, closed-end, and exchange-traded funds.
Knowledge of Diligent Boards software.
About AB
We are a leading global investment management firm offering high-quality research and diversified investment services to institutional clients, retail investors, and private-wealth clients in major markets around the globe. With over 4,000 employees across 57 locations operating in 26 countries and jurisdictions, our ambition is simple: to be the most trusted investment firm in the world. We realize that it's our people who give us a competitive advantage and drive success in the market, and our goal is to create an inclusive culture that rewards hard work.
Our culture of intellectual curiosity and collaboration creates an environment where you can thrive and do your best work. Whether you're producing thought-provoking research, identifying compelling investment opportunities, infusing new technologies into our business or providing thoughtful advice to our clients, we are fully invested in you. If you're ready to challenge your limits and empower your career, join us!
All are encouraged to apply. AB does not discriminate against any employee or applicant for employment on the basis of race, color, religion, creed, ancestry, national origin, sex, age, disability, marital status, citizenship status, sexual orientation, gender identity, military or veteran status or any other basis that is prohibited by applicable law. AB’s policies and practices seek to ensure that employment opportunities are available to all employees and applicants based solely on job-related criteria.
Nashville, Tennessee
