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The Panther Group
https://www.thepanthergrp.com/wp-content/uploads/2022/03/sm-logo-200x200-1.png
https://www.thepanthergrp.com
https://www.thepanthergrp.com
USD
115000
YEAR
true
Investment Services Paralegal
New York, IL 10019 US
Posted: 08/14/2023
2023-08-14
2023-10-27
Employment Type:
Direct Hire
Industry: Paralegal
Job Number: 40573
Pay Rate: 115,000
Job Description
Investment Services Paralegal (NY) Â
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:
To perform this job successfully, an individual must be proficient in the following software:
Targeted base salary of $115k/yr DOE
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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
- 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
- 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 Â
- 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
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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