Associate General Counsel
Current- Prepare prospectuses and statements of additional information for new fund offerings and regulatory updates for existing offerings.
- Prepare Board meeting materials, including minutes, resolutions and memos; attend Board Committee meetings.
- Provide legal guidance to compliance, risk management and treasury business units regarding SEC rules, regulations and regulatory reporting.
- Review Form ADV and Form N-CSR filings.
- Review fund and adviser compliance policies and procedures.
- Prepare proxy statements and support transfer agent in connection with proxy solicitations.
Jul 2007 - Present
