Regulatory Specialist

  • Competitive
  • San Francisco, CA, USA
  • Permanent, Full time
  • Matthews Asia
  • 20 Nov 17 2017-11-20

We are looking for a strong Regulatory Specialist to join our team providing legal and regulatory support for Matthews’ U.S. Fund family and Luxembourg domiciled UCITS umbrella fund by contributing to the preparation, updating and filing of legal documents, including the prospectuses for the funds.

TITLE: Regulatory Specialist

 

LOCATION: San Francisco, California

 

THE COMPANY:

 

Founded by G. Paul Matthews in 1991, Matthews International Capital Management, the advisor to Matthews Asia Funds, believes in the long-term growth of Asia, concentrating our efforts and expertise exclusively within the region. As an independent, privately owned firm, Matthews is the largest dedicated Asia-only investment specialist in the United States. Our investment offerings provide a broad range of strategies for building a global portfolio that includes exposure to Asia.

 

Additional information on Matthews International Capital Management, LLC and Matthews Asia Funds can be found at www.matthewsasia.com.

 

 

REPORTING RELATIONSHIPS:

 

This position will report to the General Counsel.

 

ROLE AND RESPONSIBILITIES:

 

This primary focus of the position will be providing legal and regulatory support for Matthews’ U.S. Fund family and Luxembourg domiciled UCITS umbrella fund by contributing to the preparation, updating and filing of legal documents, including the prospectuses for the funds.  As a member of the Legal Department the role will also be expected to contribute in other ways to help the Department fulfill its mission of delivering high quality, proactive legal support to contribute to the development of Matthews’ business.

 

U.S. Fund Support:

Prepare, review and produce U.S. mutual fund prospectuses, summary prospectuses, annual and semi-annual reports, and assist with other required regulatory filings and reporting obligations. This entails liaising with internal marketing and operations teams, and external service providers such as the Funds’ administrator, outside legal counsel, independent auditors, financial printers and mailing houses. 

 

Luxembourg domiciled UCITS Support: 

Prepare, review and update offshore fund disclosure documents (e.g., prospectus, KIIDs, KFSs, annual and semi-annual reports) and their accompanying translations. Assist in the filing, notification process and reporting requirements within the countries in which our Funds may be sold.  This entails working closely with internal teams such as global distribution, operations and compliance, and other external service providers in Europe and Asia, consultants, and production houses.

 

Legal Department Support:

The Legal Department is a relatively small group, which provides each member with opportunities to contribute in a variety of ways, based on knowledge, skills, ability and drive.  Candidate must be eager to contribute to the success of the Legal Department by assisting on projects and tasks beyond the primary area of responsibility.   Candidates with legal backgrounds could contribute by drafting and reviewing agreements, taking minutes at committee meetings and otherwise contributing on legal tasks and projects.

 

 

Essential Duties and Responsibilities:

  • Review legal and regulatory documentation for accuracy and completeness. 
  • Maintain and manage production calendars and observe regulatory filing deadlines.
  • Obtain appropriate internal and external approvals prior to key filing dates.
  • Maintain processes and procedures, and other team documentation.
  • Provide assistance to other Legal team members, participating in other key projects and department initiatives. 

 

Requirements:

  • BA/BS degree required (J.D. or Paralegal certificate a plus).
  • Strong writing and communication skills.
  • Strong attention to detail.
  • Strong Outlook and Word skills.
  • Ability to meet time-sensitive deadlines.
  • Must be a U.S citizen or authorized to work in the U.S. on a permanent basis.

 

Other desirable qualifications:

  • Investment management experience a plus.
  • Strong organizational, prioritization and follow-up skills. Ability to manage multiple projects with tight deadlines and must be able to work independently with limited supervision.