Support PDF,DOC,DOCX,TXT,XLS,WPD,HTM,HTML fils up to 5MB
Organization TypeLaw Firm
Years of Experience
Date Last Verified
ProfileParalegal - Business Practices Group Duties: Supporting the Corporate Finance team, and the broader Business Practices Group. Assist partners and associates while participating as a team member to provide an integral support role for various finance and corporate transactions. Researching and obtaining SEC and FINRA filing documents, securities law research, preparation of documents for the SEC and Blue Sky filings and other corporate filings as well as assisting with merger and acquisition transactions; management of Edgarization process for SEC filings and maintenance of due diligence files; securities research and SEC filings, document proofing and review, client and agency communications, transaction documentation, general information gathering and cite checking. Reviews draft agreements, prospectuses, opinion letters, research memoranda for accuracy, consistency, grammar, typos and style; compare similar documents to identify differences; draft transmittal letters, consents and opinions for filings. Contacts clients and regulatory agencies to obtain information or alternatively to provide information. Locates copies of applications, registration statements and other documents filed with SEC and FINRA; reconstruct filing history for a registrant; locates information or documents relevant to practice area as requested. Cite checks opinions, memos and articles containing citations; compiles rulemaking history; performs blue sky research; can perform limited securities law research. Prepares and updates portions of SEC of registration statements; prepare exhibit list and collect and organize exhibits to registration statements; prepare first draft of prospectus to incorporate insurers’ description and policy terminology. Assembles and packages no-action requests and exemptive applications for filing with the SEC. Handles all interfaces with financial printer for prospectuses and SEC filings: compiles changes to filings, transmits changes to printer; follows up on changes; recirculates new proofs to review team, oversees EDGAR-ization of exhibits. Maintains files reflecting work product and progress on large projects, e.g., initial filings, mergers and acquisitions, unusual transactions.
Qualification and Experience
Qualifications: A Bachelor’s degree is required; Paralegal Certificate preferred. 6-10 years of formal paralegal experience in finance or corporate transactions required; at least five years of experience in a law firm or legal service industry or securities or other financial services industry required. Experience and familiarity with one or more of the following: securities filings, investment companies, broker-dealers and investment advisors, hedge funds, and/or variable annuities and other insurance products and transactions. Excellent computer skills and proficiency in Microsoft Office Suite required. Excellent communication, organizational, and prioritization skills required. Must be able to handle confidential and sensitive information with appropriate discretion, and make sound and reasonable judgments and decisions with minimal supervision.