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What is the Sr. Legal Specialist in the Legal group responsible for?

• In general, this position will be responsible for assisting one or more attorneys in carrying out the mission of the Legal Department. An individual in this position will be expected to develop subject matter expertise in one or more specific legal or regulatory areas and perform related tasks with minimal supervision. In addition, an individual in this position should have a solid understanding of the business area(s) he or she is serving, including its goals, function, procedures and operations.

What are the ongoing responsibilities of the Sr. Legal Specialist in the Legal group?

The Sr. Legal Specialist identified in this job description will be expected to support two primary areas:

1. FORM N-1A (U.S. FUND REGISTRATION STATEMENTS) UPDATES, OTHER FUND DISCLOSURE AND NEW FUNDS:

• Form N-1A is used by open-end management investment companies (mutual funds) to register with the U.S. Securities Exchange Commission under the Investment Company Act of 1940 and to offer their shares under the Securities Act of 1933. The registration statement is designed to provide investors with information that will assist them in making a decision about investing in a fund. The disclosure portion of the registration statement is divided into a prospectus and statement of additional information (SAI). Once the fund is registered, the registration statement must be updated at least annually to reflect revised financial statements and whenever material changes occur

The Sr. Legal Specialist among other responsibilities will:

• Serve as project manager for assigned existing and new fund registrations.

• Prepare, review and produce of fund registration statements and other disclosure documents (e.g., summary prospectus, prospectus, statement of additional information, proxies, supplements, shareholder reports, etc.) for assigned existing and new funds.

• Organize, maintain, and use database or other document management systems; implement procedures and revise as needed to keep current.

• Gather and analyze routine information necessary for regulatory or other purposes; answer routine questions from within and without company and make simple inquiries of regulators and others.

• Review prospectuses and other disclosure documents for sub-advised third party funds for assigned relationships.

2. FORM N-1A AND RELATED INVESTMENT COMPANY FILINGS:

• In addition to registration statements, there are a number of related filings that must be made with the SEC through its electronic filing system (EDGAR).

• Create and maintain fund and other legal files and records, and team policies and procedures; provide administrative support for attorneys as necessary.

• Work on special projects with paralegals and/or attorneys. Act as team leader for other non-exempt staff by assisting with basic training and support

• Coordinate and process annual and new N-1A filings for registered funds (and/or classes)

• Creating edition in content management system (CAPs) Coordinate and participate in portfolio manager (PM) and other attorney meetings Requesting appropriate documentation including N-1A data sheets, indirect fees, sub-advisor (if needed) Research including next updates files, prospectus supplements, review board minutes, annual reports, agreements Reviewing, working through and updating documents based on approved fund counsel and other comments Updating CAPs

• Building of new funds into CAPs

• Updating content in fund documents

• Rebuilding tables, updating manually for some tables

• Updating footnotes

• Revise tax sections upon advice from attorney

• Making necessary proofs and blacklines

• Ensure that all “form” changes get incorporated in our Pro/SAI form documents to maintain language consistency Review of documents (ongoing throughout N-1A update), sending for internal, fund counsel and PM. Make all necessary updates and also self-review of documents. Finalizing the documents and communicating with necessary parties Add files to “hot folder” for posting to FT websites.

3. Monthly EDGAR Filings:

• Prepare and file annual Form N-1A and related filings, including drafting wrap pages and letters, such as 485a, 485b, 497K, 497J and XBRL File “financial” forms on SEC Publisher, as 24f-2 and 40-17f2 Review final file from financial publisher for certain forms (N-Q and N-CSR) Prepare and file other forms as needed

• Reorganizations (N-14)

• New Funds (485(a))

• Proxy (14A)

• SEC Correspondence

4. Coordinate and process prospectus supplements (stickers):

• Incorporating any comments that have been validated to be included in the sticker Updating summary prospectus when required Coordinating the typesetting process with Creative Services or PPM (depending on time constraints) to finalize sticker; if needed, consult with appropriate parties on who can insert the sticker if it needs to be mailed (is it going out via special mailing or included with SH Report or next quarterly asset summary statement) Insert sticker into Pro(s) and/or SAI(s) for posting on the website Troubleshoot any issues and if needed, submit an incident ticket if documents fail to post on the web

• Provide support on projects as necessary

What ideal qualifications, skills & experience would help someone to be successful?

Education And Experience:

• Bachelor’s degree or associate degree with an emphasis on Paralegal studies or equivalent work bachelor's degree or associate degree with an emphasis on Paralegal studies or equivalent work experience

• About four years of relevant corporate experience.

• Directly related experience in legal/compliance role for an asset management or financial services company a plus but not essential

• Previous job history and training demonstrate:

• excellent research, comprehension, analytical and decision making skills

• excellent interpersonal skills; proven ability to inform and influence decision making

• excellent communication skills; in-depth experience in drafting, editing and proofreading detailed correspondence, documents, reports and complex legal forms

• Professional skills necessary to independently manage multiple complex projects involving confidential and detailed information.

Knowledge, Skills, And Abilities:

• Ability to work independently

• Knowledge of proper English usage, grammar, spelling, vocabulary and of generally accepted office practices, procedures and equipment

• Ability to communicate effectively both orally and in writing

• Excellent research, comprehension, analytical, proofreading and decision making; pays close attention to detail

• Professionally and confidently interact with all levels of internal and external contacts; establish and maintain productive working relationships, resolving conflicts and exchanging pertinent information to meet common objectives

• Ability to remain flexible and work under pressure

• Advanced knowledge of business desktop applications (i.e., Microsoft Word, Excel, PowerPoint, Access & Project, Windows, Visio, etc.) required

• Excellent planning, project management and progress reporting skills

• Ability to maintain confidentiality

• Ability to organize and prioritize workflow

• Ability to maintain updated knowledge of procedures, products and activities of assigned area

• Ability to perform multiple tasks in a fast-paced, team environment

• Strong administrative and organizational skills and ability to accept responsibility for final work product

Problem Solving and Decision Making:

• Works under very general supervision; work is reviewed for accuracy

• Work is performed under general direction; participates in determining objectives of assignment; work is reviewed for adequacy in meeting objectives; manages own activities in accomplishing objectives

• Solve problems of moderate scope and complexity, refers to policies and practices for guidance

• Exercise discretion and judgment in independently determining best course of action within scope of delegated responsibilities

• Initiate or recommend realistic solutions that are consistent with regulatory requirements and corporate guidelines and policies

• Plan, schedule and arrange own activities to efficiently accomplish objectives of multiple assignments within required timelines, resolving conflicts as necessary to accomplish goals

Physical Requirements:

• Work comfortably in an office setting using standard office equipment

• Maintain a competent, professional image

Work Shift Timing - 4:30 PM - 1:30 AM IST