Legal Analyst - Fund Disclosure & SEC Registration

Today, markets face new pressures and opportunities—to innovate, invest responsibly, and drive change. At DWS, a global industry leader, you can shape the future of investing, support clients and communities, and work alongside top thought leaders. As investors for our clients, we deliver solutions that secure their financial futures. In return, we provide a platform to develop skills, make an impact, and achieve your career goals.

About the role

As a Legal Analyst in Fund Disclosure & SEC Registration, you will prepare and review mutual fund and ETF disclosure documents, manage SEC registration filings, and ensure compliance with regulatory requirements. This role involves collaboration with internal teams, service providers, and legal counsel to produce accurate and timely filings.

Responsibilities

• Prepare and review mutual fund and ETF disclosure and reporting documents (e.g., prospectuses, statements of additional information, supplements, and Parts C) using in-house legal counsel and document production tools.
• Distribute SEC registration documents for comment, analyze and resolve comments, and escalate issues or proposed solutions to in-house legal counsel or management.
• Finalize SEC registration documents for filing, print, and electronic distribution, coordinating with all relevant parties for timely production.
• Participate in calls with SEC examiners alongside reviewing attorneys and draft SEC comment/response letters for filing.
• Perform detailed analytical reviews of fund disclosure and reporting documents, including annual reports and Forms N-CEN.
• Validate in-line XBRL (eXtensible Business Reporting Language) tagging to ensure consistency, completeness, and alignment with regulatory requirements.
• Coordinate with service providers (e.g., fund counsel, auditors, fund accounting agents) and internal teams (e.g., board governance, tax, compliance, product, portfolio management) to obtain and finalize data and disclosure, ensuring accuracy and regulatory compliance.
• Manage complex projects, such as new fund launches and restructurings, while communicating status updates and escalating issues with proposed resolutions.
• Assist in reviewing Board materials, including memoranda related to product matters.
• Develop and maintain knowledge of department procedures and actively participate in staff and workgroup meetings.
• Provide support to other team members as needed.

Requirements

• BA/BS degree, preferably with a minimum of 1+ years of SEC registration process or corporate/securities paralegal experience, ideally in the legal department of a financial services company or with a fund administrator.
• Asset management background (e.g., mutual funds) and experience with the Investment Company Act of 1940.
• Experience with prospectus document management systems is preferred.
• Strong analytical, written, and verbal communication skills, with keen attention to detail and effective collaboration abilities.
• Ability to work independently on multiple projects in a fast-paced environment while maintaining high standards and attention to detail.
• Proven ability to leverage AI tools to enhance productivity, optimize workflows, and apply critical judgment to ensure responsible and ethical use of data and AI outputs.
• Flexibility and strong teamwork skills.

This role may be adjusted for a strong candidate with a more junior level of experience.

Benefits

At DWS, we prioritize diversity, equity, and inclusion, fostering a culture where colleagues can thrive. Our benefits are designed to support your physical, emotional, and financial well-being, allowing you to create a personalized plan tailored to your lifestyle. Offerings include healthcare, company perks, and retirement planning. Learn more about our benefits.

Pay

The salary range for this position in Boston is $70,000 to $130,000. Actual salaries may vary based on factors such as skill set, experience, education, work location, and other qualifications. The posted range does not include incentive compensation or other forms of remuneration.

Schedule

DWS’ Hybrid Working model balances in-office collaboration with remote work. The specific split between office and home time varies by business group and will be discussed during the application and interview process. We continuously review and evolve our working methods to best support our team.