Senior Manager, Legal & Regulatory Services

Location: Owings Mills, Maryland, United States; hybrid work with up to one day per week from home.

Base salary: $125,000–$213,000 for Maryland, Colorado, Washington, and remote workers. Other listed ranges are $137,000–$235,000 for Washington, D.C. and $156,000–$266,000 for New York and California.

Company

Global asset management organization providing equity, fixed income, and multi-asset investment solutions to individuals, advisors, institutions, and retirement plan sponsors.

What you will do

• Lead, coach, and develop a team responsible for producing and maintaining legal disclosure documents.
• Oversee analysis, drafting, review, and maintenance of prospectuses and related disclosures for mutual funds, ETFs, and other registered investment products.
• Act as the subject matter expert for SEC filings under the Securities Act of 1933 and the Investment Company Act of 1940.
• Manage prospectus filing cycles and related regulatory submissions for accuracy, timeliness, and compliance.
• Coordinate with attorneys, business units, regulatory agencies, and other stakeholders on disclosure matters and product launches.
• Own disclosure processes and workflows, improving controls, scalability, automation, and technology adoption.

Requirements

• Bachelor’s degree or equivalent combination of education and relevant experience.
• 8+ years of relevant work experience.
• 2+ years of management experience.
• Understanding of regulations related to the Investment Company Act of 1940.
• Strong people leadership, project management, disclosure analysis, communication, influence, and problem-solving skills.
• FINRA licenses are not required and will not be supported for this role.

Nice to have

• Experience in a fast-paced production environment.
• SEC filing experience.
• Aptitude for technology, process improvement, workflow solutions, and automation.

Culture & Benefits

• Hybrid work schedule with flexibility.
• Competitive compensation and annual bonus eligibility.
• Retirement plan and health and wellness benefits, including online therapy.
• Paid time off for vacation, illness, medical appointments, and volunteering.
• Family care resources, including fertility and adoption benefits.
• Inclusive workplace focused on diversity, equal opportunity, and collaboration.