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Form of workSummary of Responsibilities:
Provides legal services on securities and regulatory matters relating to the registration and operation of mutual funds, exchange-traded funds, and variable insurance products, and provides advice regarding compliance with the Investment Company Act of 1940 (“40 Act”).
Position Responsibilities:
Advises Touchstone Securities, Inc. and Touchstone Advisors, Inc. on legal matters relating to the Touchstone mutual funds and exchange-traded funds with moderate direct supervision.
Communicates and negotiates with other attorneys and regulatory authorities to resolve disputes.
Drafts legal documents and required filings with the SEC required in connection with the registration of various types of funds and variable insurance products; communicates with the SEC on filing comments.
Undertakes complex research assignments.
Completes SEC filing requirements with respect to registration statements, annual and semi-annual reports, prospectus updates, proxy statement and registration of fund shares with moderate direct supervision. Is responsible for routine SEC filings with little to no direct supervision. Assists with management of legal responsibilities delegated to transfer agent.
Assists the fund board secretary with board governance matters, including development of board materials and review of meeting minutes; functions as acting secretary as needed.
Assists other attorneys as needed with projects they are overseeing.
Effectively and efficiently manages outside counsel substantively on issues, as well as on budget.
Is detail-oriented, responsive and resourceful, with excellent follow-through skills.
Performs other duties as assigned by management.
Selection Criteria:
Minimum six years’ experience in ’40 Act investment company matters supporting all legal needs/requirements of a diversified mutual fund complex, including familiarity with funds investing in equity, fixed income, money market and alternative investments and the legal requirements relating thereto.
Demonstrated comprehensive knowledge of securities law and mutual fund operations.
Demonstrated experience in a corporate legal department and/or law firm, working with partners and also independently with clients on complex matters.
Proven leadership abilities and excellent communication/interpersonal skills.
Proven strong analytical skills, including demonstrated experience identifying, defining and resolving complex problems, and collecting, quantifying or interpreting data to establish facts, draw valid conclusions and provide creative resolutions. Must be able to cite examples of sound judgment, initiative and good decision-making skills when dealing with multiple alternatives. Demonstrated ability to conceptualize and use new methodologies. Proven experience in working with complex data and analyzing the quality of the output provided.
Demonstrated strong contract drafting, and verbal and written communication skills. Demonstrated ability to convey information, verbally and in writing, to internal and external customers in a clear, accurate, focused and concise manner. Proven ability to effectively interact and communicate with all levels of staff and management. Demonstrated ability to document procedures and activities in a manner that is understandable to others and prepared using a prescribed format. Verbal and written communications are to conform to proper rules of punctuation, grammar, diction and style.
Proven ability to work under pressure, prioritize and manage multiple tasks; meeting deadlines is imperative. Must cite examples of developing, organizing, initiating and maintaining a project, and successfully accomplishing set goals.
Demonstrated ability to build collaborative relationships with executive leadership and to influence others beyond direct control, both inside and outside the Company.
Demonstrated ability to collaborate with other attorneys and colleagues in the organization on legal and regulatory matters, cases and/or issues; proven appreciable knowledge and perspective of financial services businesses.
Work Setting:
This position works in an office setting and remains in a stationary position for long periods of time while working at a desk, on a computer or with other standard office equipment, or while in meetings. Requires visual acuity to read a variety of correspondence, reports and forms, and to prepare and analyze data and/or information.
Educational Requirements:
Juris Doctor degree in law from accredited law school and above average class standing.
Computer Skills and Knowledge of Hardware & Software Required:
Proficient in the use of Word, PowerPoint and Outlook.
Certifications & Licenses (i.e., Series 6 & 63, CPA, etc.):
License to practice law in Ohio.
Position Demands:
Extended hours required during peak workloads or special projects.
