Job Details

Senior Paralegal

Company name

Organization Type


Job Type

Legal Staff

Years of Experience

3-5 yrs required


San Mateo, CA

Date Last Verified

Oct 19,2017

Posted on

Mar 30,2017
Practice Area
Corporate >> Corporate - General Corporate/Governance
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Senior Paralegal Duties: Responsible for advisory regulatory filings of the organization, including Form ADV, CFTC filings, and state notice filings. Will involve the high-level oversight of the regulatory filing process, creation and drafting of practice notes and procedures, and independent analysis of legal issues. Oversee the maintenance of the private fund corporate governance books, support fund board meetings and assist with fund formation. Independently filing Form ADVs with the SEC; creation of procedures and practice notes; responding to questions posed to the Form ADV mailbox, including substantive questions that require research and analysis; administration of Disciplinary Event Questionnaire process, including analysis of responses. Filing and support for CFTC filings and maintenance of the CTA compliance process. Other regulatory filings, including Form D and state notice filings. Support of alternative investment products, including: fund formation, Cayman Island registration, corporate governance, board support, and drafting of resolutions and other ancillary documents.

Qualification and Experience

Qualifications: Bachelor’s degree or equivalent training. Paralegal certificate desired. 5+ years as a paralegal or compliance analyst. 3-5 years of experience with regulatory filings. Self-starter/motivated. Critical thinking and analytical skills. Ability to work independently. Excellent verbal and written communication skills. Strong attention to detail. Ability to interact with senior management on a regular basis. Advanced knowledge of business desktop applications (i.e., Microsoft Word, Excel, PowerPoint, Access & Project, Windows, Visio, etc.) required.

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