Legal & Compliance Specialist

Role Overview

As a key member of the Meeder Legal and Compliance team, the Legal & Compliance Specialist role offers an exciting opportunity to contribute to a high-performing team with a wide-reaching purview across the entire firm. You will play a critical role in supporting Meeder’s legal and compliance functions while collaborating with a diverse group of professionals. This position provides a broad set of responsibilities, offering opportunities for growth and development within the firm, allowing you to make a meaningful impact as you grow your career with us.

 

Primary Responsibilities:

• Responsible for planning, coordination, and distribution of Board materials for mutual funds and other investment pool Board meetings.
• Coordinate mutual funds filings with the SEC’s EDGAR system.
• Manage Blue Sky process for mutual funds.
• Coordinate updating and filing of Form ADVs with the SEC in collaboration with the Legal and Compliance team and other stakeholders in the firm.
• Responsible for SEC, FINRA and state registration of licensed professionals.
• Assist with licensed representative oversight and compliance.
• Coordinate state corporate filings.
• File, organize and maintain records for Meeder’s various affiliates, including firm registrations oversight and compliance calendar monitoring.
• Administer associate ethics reporting and conflicts of interest monitoring program via compliance application.
• Coordinate firmwide proxy vendor and insurance application/administration.
• Perform various compliance testing and monitoring functions.
• Manage new associate compliance onboarding process.
• Assist with preparation for examinations and other regulatory inquiries or inspections.
• Assist with organization and maintenance of third-party vendor agreements.
• Special projects as assigned that align with interests and skillset.

Critical Success Factors:

• General knowledge of investment industry and related legal and compliance obligations.
• Self-motivated and able to work independently.
• Detail oriented with excellent organizational skills.
• Strong knowledge of Microsoft Office products and the ability to work with new technologies.
• Able to work in a fast-paced environment, meet deadlines, and execute with minimal errors.
• Strong interpersonal skills with the ability to work well in a team-oriented environment.
• Strong written and verbal communication skills.
• Curiosity to responsibly use artificial intelligence to enhance and streamline daily tasks.