Analyst, Legal

About Baron Capital

Baron Capital is a leading asset management firm founded in 1982. We believe that hiring, retaining, and nurturing talented individuals who share our passion for excellence, integrity, and innovation is the key to our success. This means creating a welcoming, inclusive, and inspiring environment for all, as well as providing the resources and support our employees need to succeed. We take pride in our exceptionally low turnover and consider it a testament to our culture of collaboration and open communication. If you are looking for a career where you are part of a dynamic team where you can truly make a difference, we invite you to consider joining us.

About the Role

Support the Legal Department in responding to all legal related inquiries and ensuring the Firm’s regulatory requirements under the Investment Advisers Act of 1940 and the Investment Company Act of 1940 are met.  The Legal Analyst will report directly to the Chief Legal Officer. The role also requires providing administrative assistance to the Legal Department as needed.

Key Responsibilities

• Regulatory Filings: Responsible for monitoring, preparing and filing various regulatory filings, including but not limited to: Form 13F, Form 13H, Schedule 13G, Form N-PX, Form 40-17G and CFTF Regulation 4.5.
• Registration Statements: Support Associate General Counsel and General Counsel in updating annual Registration Statements. Tasks include updating disclosures within the prospectus and SAI, arranging comments to the Registration Statement internally and with the auditor and Fund Counsel, updating Part C and exhibits to the Registration Statement, and arranging the printing and filing with DFIN.
• Foreign Account Openings: Responsible for arranging the opening of sub-custody accounts in various jurisdictions.
• Board Books: Responsible for arranging Adviser and Fund Board Books for delivery to Directors and Trustees. Responsibilities also include preparing various Board reports.
• Class Actions: Coordinate the filing of class action litigations.
• Immigration: Coordinate the filing of H-1B petitions and PERM petitions with immigration counsel.
• Insurance: Coordinate the renewal and review of insurance policies.
• New Product Launches: Support the Legal Department with the launch of new mutual funds, private funds, and other investment products.
• Overseas Entities: Support the Legal Department in maintaining registrations of the Firm’s overseas entities.
• Wall Crosses: Assisting with maintenance of restricted trades list and related communications with bankers.
• Administrative Duties: Providing administrative assistance to the Legal Department as needed, including:
• Manage calendars.
• Answer incoming calls and take messages.
• Light travel coordination, including ground transportation, hotels, flights and expense reimbursements.
• Prepare materials for meetings and presentations, including agendas, hand-outs, etc.
• Print, scan and copy documents.
• Assist with board meeting setup.

Qualifications

Education and Experience:

• Bachelor’s Degree required.
• 3+ years of paralegal experience within the financial services industry (investment management preferred).

Knowledge:

• Basic understanding of Investment Company Act of 1940 and Investment Advisers Act of 1940.
• Experience with Diligent BoardBooks a plus.
• Experience with EDGAR.
• Experience working with a financial printer.

Skills and Abilities:

• Ability to handle multiple responsibilities across multiple entities and work independently.
• Ability to interact and communicate professionally and effectively.
• Ability to manage high volumes of work under tight deadlines while maintaining accuracy and minimizing risk.
• Experience with Microsoft Office required.
• Experience with Microsoft Excel required.
• Ability to work in team oriented environment.