Western & Southern Financial Group

SENIOR COUNSEL SECURITIES REGISTERED FUNDS

Job Locations US-OH-CINCINNATI
ID
2025-22773
Category
Compliance & Legal
Type
Full Time
Subsidiary
Western & Southern Financial Group

Overview

Primary legal counsel to Touchstone Advisors and Touchstone Securities on transactional, securities and regulatory matters relating to the registration and operation of the Touchstone Mutual Fund complex and compliance with Investment Company Action of 1940 ("40 Act") and secretary of the Touchstone Mutual Fund board of directors.  Responsibilities include review of and/or drafting a variety of fund-related agreements, including third-party distribution, administration and marketing arrangements; review of registration statements and other Securities and Exchange Commission (SEC) filings, including drafting disclosure as appropriate; working with the chief compliance officer (COO) to develop and implement compliance programs; leading Touchstone in preparation of materials for trust board meetings; review of numerous types of external communications; supporting Touchstone with respect to regulatory exams or inquiries; and drafting, managing and completing required SEC filings to implement fund formations, dissolutions, reorganizations, proxy solicitations and mergers and acquisitions of investment companies.  Provide legal services on complex matters and/or matters involving large dollar amounts with little direction or supervision.

Responsibilities

What you will do:

 

  • Advises Touchstone management on all legal matters with little direction or supervision.
  • Communicates and negotiates with other attorneys and regulatory authorities to resolve disputes with little direction or supervision.
  • Drafts complex legal documents and required filings with the SEC required in connection with the summary of responsibilities, and oversees the timely and accurate filing of all required regulatory filings.
  • Effectively and efficiently manages outside counsel (fund and independent trustee counsel) substantively on issues as well as on budget.
  • Manages and oversees third-party service provider (BoNY) that provides board materials.
  • Ensures funds compliance with SEC filing requirements with respect to registration statements, annual and semi-annual reports, prospectus updates, proxy statement and registration of fund shares.
  • Secretary for designated fund board and committee meetings; attends such meetings and maintains minutes; represents items to and leads discussions with board members; leads development of board materials.
  • Assists other attorneys as needed with major parts of complex projects with little direct supervision.
  • Performs other duties as assigned.
  • Complies with all policies and standards.

Qualifications

  • PhD Juris Doctor degree in Law from accredited law school and above average class standing. - Required
  • Typically 10-plus years' experience in 40 Act investment company matters supporting all legal needs/requirements of a diversified mutual fund/ETF complex. - Required
  • Experience in a corporate legal department and/or law firm, working independently with clients on complex matters with little supervision. - Required
  • Comprehensive knowledge of securities law and mutual fund operations. - Required
  • Excellent written and verbal communication and technical drafting/writing skills. - Required
  • Able to manage and prioritize multiple competing priorities; meeting deadlines is imperative. - Required
  • Strong leadership abilities and excellent interpersonal skills. - Required
  • Demonstrated ability to build collaborative relationships with executive leadership, and to influence others beyond direct control, both inside and outside the company. - Required
  • Proficient in the use of Microsoft Office products. - Required

Work Setting/Position Demands:

  • 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 the ability to verbally communicate and exchange accurate information to customers and associates on a regular basis.
  • Requires visual acuity to read and interpret a variety of correspondence, procedures, reports and forms via paper and electronic documents, visual inspection involving small defects; small parts, and/or operation of machinery (including inspection); using measurement devices continuously. Visual acuity is required to determine accuracy, neatness, and thoroughness of work assigned.
  • Requires the ability to prepare written correspondence, reports and forms using prescribed formats and conforming to rules of punctuation, grammar, diction, and style on a regular basis.
  • Requires the ability to apply principles of logical thinking to define problems, collect data, establish facts, and draw valid conclusions
  • Performs substantial movement of wrists, hands, and fingers for continuous computer work.
  • Extended hours required during peak workloads or special projects/events.
  • Occasional after-hours work needed

Travel Requirements:

  • Ocassional

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