Legal Analyst - Fund Disclosure & SEC Registration

Employer:             DWS Group

Title:                      Legal Analyst - Fund Disclosure & SEC Registration

Location:               Boston

Job Code:              #LI-MB1 #LI-03

About DWS:

Today, markets face a whole new set of pressures – but also a whole lot of opportunity too. Opportunity to innovate differently. Opportunity to invest responsibly. And opportunity to make change.

Join us at DWS, and you can be part of an industry-leading firm with a global presence. You can lead ambitious opportunities and shape the future of investing. You can support our clients, local communities, and the environment.

We’re looking for creative thinkers and innovators to join us as the world continues to transform. As whole markets change, one thing remains clear; our people always work together to capture the opportunities of tomorrow. That’s why we are ‘Investors for a new now’.

As investors on behalf of our clients, it is our role to find investment solutions. Ensuring the best possible foundation for our clients’ financial future. And in return, we’ll give you the support and platform to develop new skills, make an impact and work alongside some of the industry’s greatest thought leaders. This is your chance to achieve your goals and lead an extraordinary career.

Read more about DWS and who we are here.

Your Key Responsibilities:

• Prepare and review mutual fund and ETF disclosure and reporting documents, working with an in-house legal counsel and in a document production tool (including, but not limited to, prospectuses, statements of additional information, supplements and Parts C).

• Distribute SEC registration documents for comment; analyze, process and resolve comments; and escalate issues and proposed solutions to in-house legal counsel and/or manager, as appropriate.

• Finalize SEC registration documents for SEC filing, print and electronic distribution; coordinate with all appropriate parties in the timely production of those documents.

• Together with reviewing attorney, participate in calls with SEC examiner and prepare draft SEC comment/response letters for filing with the SEC.

• Perform detailed analytical reviews of fund disclosure and reporting documents (including, but not limited to, annual reports, Forms N-CEN, etc.).

• Validate in-line XBRL (eXtensible Business Reporting Language) tagging in documents to ensure consistency, completeness and alignment of structured data with regulatory requirements.

• Coordinate with service providers (including fund counsel, auditors, and fund accounting agents) and internal parties (including board governance, tax, compliance, product, portfolio management, senior management) in obtaining and/or finalizing data and disclosure for all documents, ensuring accuracy and alignment with regulatory requirements.

• Complete complex projects as assigned, including new fund launches and restructurings. Communicate status of these projects to manager while appropriately escalating issues, along with proposed resolutions.

• Assist in the review of certain Board materials, including Board memoranda relating to product matters.

• Develop and maintain working knowledge of department procedures and actively participate in staff and workgroup meetings.

• Provide support to other members of the team, as needed.

Your Skills & Experience:

• Requires a BA/BS, preferably with a minimum of 1+ years of SEC Registration process or corporate/securities paralegal experience, preferably in the legal department of a financial services company or with a fund administrator.

• Candidate should have an asset management background (e.g., mutual funds, etc.) and experience with the Investment Company Act of 1940. 

• Experience working in a prospectus document management system is preferred.

• Strong analytical and communication (written and verbal) skills, strong attention to detail and effective collaboration skills are required.

• Must be flexible and be able to work effectively and independently on multiple projects concurrently in a fast-paced environment, while maintaining the highest standards and attention to detail.

• Work collaboratively with others; exhibit strong teamwork skill

• Proven ability to leverage AI tools to enhance productivity, optimise workflows to solve business problems, while applying critical judgment to ensure responsible and ethical use of data and AI outputs.

*This role may be juniorized should we identify a strong candidate with a more junior level of experience.

What we’ll offer you:

At DWS we’re serious about diversity, equity and creating an inclusive culture where colleagues can be themselves sand it’s important to us that you enjoy coming to work - feeling healthy, happy and rewarded. At DWS, you’ll have access to a range of benefits which you can choose from to create a personalized plan unique to your lifestyle. Whether you’re interested in healthcare, company perks, or are thinking about your retirement plan, there’s something for everyone.

The salary range for this position in Boston is $70,000 to $130,000. Actual salaries may be based on a number of factors including, but not limited to, a candidate’s skill set, experience, education, work location and other qualifications.  Posted salary ranges do not include incentive compensation or any other type of remuneration.

At DWS, we recognize that our benefit programs have a profound impact on our colleagues. That’s why we are focused on providing benefits and perks that enable our colleagues to live authenti­cally and be their whole selves, at every stage of life. We provide access to physical, emotional, and financial wellness benefits that allow our colleagues to stay financially secure and strike balance between work and home. Click here to learn more!

DWS’ Hybrid Working model is designed to find the right balance between in-person collaboration and engagement in the office, which is core to our working culture, and working from home. Each business group varies on the split between time spent in the office and at home, but this will be discussed and made clear as part of your application and interview process. We will continue to review and evolve our working environments and methods to ensure that we are working in the best way possible for our people.

If you require any adjustments or changes to be made to the interview process for any reason including, or related to a disability or long-term health condition, then please contact your recruiter and let them know what assistance you may need. Examples of adjustments include providing a change to the format of the interview, or providing assistance when at the DWS office. This will not affect your application and your recruitment team will discuss options with you. 

Privacy Statement

The California Consumer Privacy Act outlines how companies can use personal information. Click here to view DWS’ Privacy Notice.

Our commitment to equal employment opportunity

Our values define the working environment we strive to create – diverse, supportive and welcoming of different views. We embrace a culture reflecting a variety of perspectives, insights and backgrounds to drive innovation. We build talented and diverse teams to drive business results and encourage our people to develop to their full potential. Talk to us about flexible work arrangements and other initiatives we offer.

We promote good working relationships and encourage high standards of conduct and work performance. We welcome applications from talented people from all cultures, countries, races, genders, sexual orientations, disabilities, beliefs and generations and are committed to providing a working environment free from harassment, discrimination and retaliation.

We at DWS are committed to creating a diverse and inclusive workplace, one that embraces dialogue and diverse views, and treats everyone fairly to drive a high-performance culture. The value we create for our clients and investors is based on our ability to bring together various perspectives from all over the world and from different backgrounds. It is our experience that teams perform better and deliver improved outcomes when they are able to incorporate a wide range of perspectives. We call this #ConnectingTheDots.

Qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, protected veteran status or other characteristics protected by law. Click these links to view Deutsche Bank’s Equal Opportunity Policy Statement and the following notices: EEOC Know Your Rights; Employee Rights and Responsibilities under the Family and Medical Leave Act; and Employee Polygraph Protection Act.