Role SummaryThe Senior Manager leads and supports a team responsible for the preparation, review, coordination, and filing of regulatory disclosure documents across a range of investment products. This role combines people management and resource allocation, strategic project management and process oversight, regulatory expertise, and cross-functional collaboration to ensure timely, accurate, and compliant disclosures supporting the firm's business objectives.
ResponsibilitiesLeadership and Team Management:- Lead, coach, and develop a team of disclosure professionals responsible for the production and maintenance of legal disclosure documents.
- Promote operational effectiveness and ensure equitable distribution of assignments and workload across team members.
- Conduct regular meetings and performance discussions to support employee development, maximizing their individual contributions, professional growth, and ability to build and sustain a team culture of efficiency and quality.
- Serve as escalation point for complex issues and ensure team execution aligns with the firm's business strategy and organizational priorities.
Disclosure Document Management:- Oversee the use of content management tools for analysis, drafting, review, and maintenance of legal disclosure documents, including prospectuses and additional documents, for mutual funds, exchange-traded funds (ETFs) and other registered investment products.
- Ensure consistency of disclosure across product types where applicable.
- Conduct disclosure research and maintain historical disclosure support documentation as needed.
- Update and maintain disclosure-related procedures and resources to support team effectiveness and compliance.
Regulatory Filing Oversight:- Serve as the subject matter expert for SEC filings under the Securities Act of 1933 and the Investment Company Act of 1940.
- Oversee prospectus cycle filings and related regulatory submissions.
- Ensure filing accuracy, timeliness, and regulatory compliance.
Coordination with Business Partners:- Collaborate closely with internal and external attorneys to meet deliverables and resolve any disclosure-related issues and legal questions.
- Coordinate and maintain strong business relationships with other stakeholders to ensure alignment with timing and regulatory requirements.
- Coordinate new product launches and strategic initiatives, including defining project scope, timelines, milestones, and deliverables in collaboration with internal business units.
Promote Operational Efficiency:- Serve as ultimate owner of the Disclosure Team's processes and workflows.
- Identify opportunities to improve efficiency, quality, controls, and scalability across disclosure operations.
- Continually evaluate the most efficient ways for the team to handle current responsibilities and new projects as they arise and guide process enhancements, including integration of new technology, automation and workflow solutions.
QualificationsRequired:- Bachelor's degree or the equivalent combination of education and relevant experience AND
- 8+ years of total relevant work experience AND
- 2+ years of management experience
Preferred:- Understanding of rules and regulations related to the Investment Company Act of 1940
- Strong people leader skills and project management capabilities
- Aptitude for technology particularly related to processes and workflow
- Strong disclosure analyzation skills
- Excellent interpersonal skills, to include strong influence skills, in interacting with a diverse group of contacts
- Ability to develop and maintain good working relationships with members of various business units, regulatory agencies and other external contacts
- Demonstrates willingness to assist others within the team to accomplish common objectives
- Strong creative thinking and problem-solving skills
- Experience working in a fast-paced, production environment and SEC filing experience are helpful
FINRA RequirementsFINRA licenses are not required and will not be supported for this role.
Work Flexibility This role is eligible for hybrid work, with up to one day per week from home.
Base Salary RangesPlease review the job posting for the location of this specific opportunity.
$125,000.00 - $213,000.00 for the location of: Maryland, Colorado, Washington and remote workers
$137,000.00 - $235,000.00 for the location of: Washington, D.C.
$156,000.00 - $266,000.00 for the location of: New York, California
Placement within the range provided above is based on the individual's relevant experience and skills for the role. Base salary is only one component of our total compensation package. Employees may be eligible for a discretionary bonus, which is determined upon company and individual performance.
BenefitsWe value your goals and needs, at work and in life. As an associate, you'll be supported with resources, benefits, and work-life balance so you can thrive in ways that matter to you.
Featured employee benefits to enrich your life:
- A generous retirement plan
- Health and wellness benefits, including online therapy
- Paid time off for vacation, illness, medical appointments, and volunteering days
- Family care resources, including fertility and adoption benefits
