To work collaboratively with other areas of the firm to complete required filings in compliance with applicable regulations for investment company clients and to prepare such filings for submission to the appropriate regulatory agency.
Complete registration statements and amendments thereto, proxy statements, other required filings and documents included therein for investment company clients (“Filings”) that comply with prescribed regulatory requirements, including: Solicit and review information from various departments for inclusion in Filings to ensure that it complies with and is responsive to prescribed requirements. Establish and maintain schedules for all assigned Filings and manage workflow for timely completion thereof. Prepare drafts of assigned Filings for review and comment by various departments and incorporate comments as appropriate; Analyze impact of product and operational changes on required disclosures and initiate actions needed to ensure they are appropriately reflected in assigned Filings in compliance with prescribed requirements.
Assist with the formation of new investment companies, including completing draft Filings and preparing related documents for Board approval.
Review materials (including shareholder reports and other documents) for other departments to ensure regulatory compliance.
Mentor and train junior Fund Regulatory Specialists and supervise their Filing activities as requested. #LI-D
BA/BS or commensurate experience.
Minimum five years relevant paralegal experience.
Thorough knowledge of regulatory requirements applicable to Filings
Strong organizational skills and attention to detail and the ability to meet deadlines.
Team player with well-developed communication skills and ability to interact with various other departments.
Self motivated with ability to work independently.
Ability to multi-task and prioritize several projects at one time.
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If you are driven to succeed, eager to take on new challenges and open to collaborating with diverse colleagues in pursuit of excellence, you'll discover a wealth of exciting career opportunities at Morgan Stanley. Find your path with us, whether you're a student, a recent graduate or an experienced professional.