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Investment Services Paralegal

New York, IL 10019

Posted: 08/14/2023 Employment Type: Direct Hire Industry: Paralegal Job Number: 40573 Pay Rate: 115,000

Job Description

Investment Services Paralegal (NY)  
The Investment Services Paralegal will assist with SEC filings and a variety of corporate, securities and transactional matters supporting the Investment Services group. Prepare and manage various filings and related materials. Perform document preparation and distribution as well as -closing document preparation and distribution. This position entails direct interface with attorneys and clients.
As an Investment Services Paralegal, your duties will include but not be limited to:
  • Prepare and review filings with the Securities and Exchange Commission through the EDGAR system for mutual funds, investment advisers and broker-dealers, including Forms N-1A, N-2, N-4, Forms N-14, proxy statements, Schedules 13G/13D/13HD, Forms N-Q and Forms N-CSR
  • Prepare and review Forms ADV and amendments for advisers and exempt reporting advisers through IARD system and related fillings through the CRD system
  • Draft and maintain closing checklists; maintain and manage closing deliverables; prepare and compile closing opinion diligence; prepare closing books; perform attorney support for business transactions
  • Prepare SEC filing opinions; prepare and manage filing opinion diligence
  • Draft and maintain corporate legal and governance documents
  • Conduct research related to filings and business transactions through both print and electronic sources
  • Assist attorneys with filings, opinions and business transactions
  • Review and organize due diligence materials
  • Draft closing documents and correspondence
  • Prepare closing sets and post-closing documentation
  • Analyze and organize client records
  • Work with corporate vendors to attend to the filing of governmental and agency filings for fund and adviser clients
  • Billable Hours Expectation: 1500
Skills & Competencies:
  • Working knowledge of securities laws and regulations (1940 Act, Advisers Act, 1933 Act, 1934 Act, CFTC)
  • Proficiency in Excel and legal databases
  • Strong research skills
  • Excellent written and verbal communication skills
  • Strong organizational skills
  • Keen attention to detail
  • Ability to perform multiple tasks in a fast-paced environment
  • Ability to work independently under tight deadlines
  • Willingness to work overtime
Qualifications & Required Experience:
  • Bachelor’s degree preferred
  • ABA-approved paralegal certificate is preferred
  • Seeking 10-years Paralegal experience with a minimum 1 year of investment services related paralegal experience  
  • Experience with SEC filing systems including EDGAR and IARD preferred
  • Private fund or registered mutual fund experience preferred
  • Experience in investment services or mutual fund compliance a plus
  • Position also requires the ability to work under pressure to meet strict deadlines
Computer Skills:
To perform this job successfully, an individual must be proficient in the following software:
  • Proficient in Microsoft Office programs including Word, Excel and PowerPoint
Targeted base salary of $115k/yr DOE

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