Alex Marks Email & Phone Number

Arizona, United States

Traveling across Arizona region to watch and evaluate amateur and professional baseball players to determine if players' talents and skills qualify them to work and prosper in the baseball industry. Available for hire and compensation on a freelance basis if needed.

Denver, Colorado, United States

• Assist the Legal Department General Counsel, Legal Administration Director and Paralegal Manager with developing training programs and sessions for the other paralegals.• Serve as officer of multiple investment companies and attend client board meetings.• Draft investment company client board meeting minutes.• Assisting Paralegal Manager developing and implementing department processes and policies. • Assist in training and mentoring Investment Company Act Paralegals and Legal… Show more • Assist the Legal Department General Counsel, Legal Administration Director and Paralegal Manager with developing training programs and sessions for the other paralegals.• Serve as officer of multiple investment companies and attend client board meetings.• Draft investment company client board meeting minutes.• Assisting Paralegal Manager developing and implementing department processes and policies. • Assist in training and mentoring Investment Company Act Paralegals and Legal Assistants on department policies and procedures. • Supervise and oversee various day-to-day projects of Investment Company Act Paralegals and Legal Assistants.• Lead Senior Paralegal for overseeing onboarding of new closed-end fund and closed-end interval fund families.• Performs all functions of an Investment Company Act Paralegal. Show less

Denver, Colorado, United States

• Point person for drafting and reviewing all intermediary platform agreements and other legal documentation for mutual fund clients and their applicable distribution syndicate.• Supervise compliance with ALPS Distributors Inc.’s and ALPS Portfolio Solutions Distributor, Inc.’s Mutual Fund Distribution and Sub-Accounting Policy and Procedures.• Provide scheduled and regular reporting to mutual fund family boards on compliance intermediary platform agreements with applicable Board… Show more • Point person for drafting and reviewing all intermediary platform agreements and other legal documentation for mutual fund clients and their applicable distribution syndicate.• Supervise compliance with ALPS Distributors Inc.’s and ALPS Portfolio Solutions Distributor, Inc.’s Mutual Fund Distribution and Sub-Accounting Policy and Procedures.• Provide scheduled and regular reporting to mutual fund family boards on compliance intermediary platform agreements with applicable Board policies and procedures.• Assist mutual fund clients with compliance on any applicable policies and procedures for evaluation of the Intermediary Syndicate.• Identify relevant terms and conditions critical to operations necessary for sale of client mutual fund shares.• Engage appropriate parties in decision involving regulatory requirements to help analyze and quantify distribution risk.• Maintain strong and effective relationships with internal and external parties by preparing and disseminating information to appropriate parties regarding relationships within a client distribution syndicate.• Assist Director of Intermediary Operations with operating Distribution Group. Show less

Denver, Colorado, United States

• Organize, prepare and assemble drafts of various mutual fund regulatory documents for filing with the U.S. Securities and Exchange Commission on behalf of mutual fund clients, including but not limited to: Forms N-1A, N-2, N-8A, N-14, N-CSR, N-PX, N-Q, 40-17G, Schedule 14(a), and other miscellaneous regulatory forms• Responsible for preparing, examining, analyzing, summarizing and revising mutual fund selling agreements that concern the purchase, sale, and related compensation of mutual… Show more • Organize, prepare and assemble drafts of various mutual fund regulatory documents for filing with the U.S. Securities and Exchange Commission on behalf of mutual fund clients, including but not limited to: Forms N-1A, N-2, N-8A, N-14, N-CSR, N-PX, N-Q, 40-17G, Schedule 14(a), and other miscellaneous regulatory forms• Responsible for preparing, examining, analyzing, summarizing and revising mutual fund selling agreements that concern the purchase, sale, and related compensation of mutual fund shares to applicable financial intermediaries.• Research, draft and review documents in response to various regulatory and legal requests.• Prepare and assemble corporate board books and board materials for respective mutual fund clients’ regularly scheduled and special corporate board meetings, and draft corresponding board meeting minutes.• Draft new client service contracts for attorney review.• Supervised and oversaw the implementation of the new SEC Summary Prospectus Rule as it affected various Form N-1A and Form N-2 mutual fund clients. Show less

Boston, Ma

• Organized, prepared, and assembled drafts of 1) Form N-1A registration statements according to Form N-1A of the 1940 Investment Company Act, and 2) Schedule 14(a) Proxy Statements according to Regulation 14A of the 1934 Securities and Exchange Act for filing with the U.S. Securities and Exchange Commission on behalf of numerous mutual funds.• Managed and Lead Proxy campaigns including drafting special shareholder proposals to be submitted for shareholder approval.

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