Support PDF,DOC,DOCX,TXT,XLS,WPD,HTM,HTML fils up to 5MB
Years of Experience
Date Last Verified
ProfileDocumentation Specialist The candidate will be responsible for a variety of duties relating to client onboarding, agreements and firm documentation. The role requires excellent time management skills to meet multiple deadlines, attention to detail, and effective communication with internal and external clients. Prepare draft agreements and other documentation for clients and funds. Coordinate efforts with company’s internal and external legal counsel; resolve complex issues, and present final documents to the satisfaction of all parties. Specific documentation may include investment management agreements, authorization documents, investment guidelines and policies, ISDAs and related trade agreements, limited partnership agreements and other fund offering documents, non-disclosure agreements, as well as bank and brokerage account agreements. On-board new client accounts, including review of client specific documentation; work with brokers to open new accounts; setup client and trading accounts. Review and process trade confirmations related to OTC trading. Work closely with company’s trading, operations, and business development professionals in the Minneapolis Investment Center. Persistently follow the resolution and expedition of outstanding issues throughout the process of on-boarding new clients or modifying our relationship with existing clients. Provide updates regarding the status of negotiations. Be prepared to speak to the specific terms pursued or contained in agreements and related policies. Work with legal and compliance to ensure that company’s contractual obligations, notifications and statements of compliance are actively monitored, and that required communications are documented and executed as appropriate. Research client specific legal and factual issues such as unique industry or locality issues that influence the relationship. Responsible for the maintenance of client files and the retention of documents in an organized manner, making use of technology to ensure access to current documents is efficient and secure. Also responsible for the ongoing improvement of the organizations’ document management and control methodology. Should have Bachelor’s Degree. J.D. or Paralegal with relevant financial agreement experience preferred. Must have 5+ years of industry experience. Should have excellent verbal and written communication skills. Must have document management experience. Knowledge of futures and Over The Counter derivative financial transactions and related documents a plus.