David Harris Email & Phone Number

• Highly experienced in preparing and reviewing ’40 Act regulatory fund documents for SEC filings, performing all associated responsibilities at a very high level• Significant experience in preparing, reviewing, executing and filing LLC Private Fund offering, regulatory, and organizational documents, as well as heavy involvement with various tasks associated with onboarding new clients and launching new funds• As Sub-Advised Technical Coordinator, offered continued support of attorneys in addressing sub-advised clients’ inquires, assumed oversight and delegation with other team members, maintained relevant source documents, streamlined processes, standardized new procedures, forged strong relationship with Client Service team, and remained cognizant of disclosure changes having impact• Possess strong understanding of the MFS Legal Department’s online disclosure database (CAPS), with role having evolved and expanded to include increased responsibilities in incorporating disclosure changes, as well as oversight from a control perspective and general maintenance from a functionality perspective• Significant experience with performing disclosure-specific competitor research and tracking statistics contained in compliance reports• Continually handle multiple projects and participate in new initiatives (whether independently or in tandem with others), often involving extensive research & addressing timing issues with regards to overlapping schedules of routine and non-routine projects/filings• Make significant contributions toward annual review processes, including interdepartmental review of prospectus and SAI disclosure, as well as meticulous reviews of multiple source documents• Grown into and embraced leadership role within the legal disclosure group, providing in depth training and guidance for new team members, demonstrating approachability when there are questions, suggesting alternative approaches, being open to new ideas, and raising key topics at team meetings

Listed skills include Research, Customer Service, Financial Services, Mutual Funds, and 1 others.

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  Stonehill College

  Criminology