1940 Act Paralegal

Min 2 yrs required

Full-time

No

SEO Friendly Job Title: 1940 Act Paralegal / Regulatory Administrator

H1: Join the . Bank Team as a 1940 Act Paralegal / Regulatory Administrator

H2: Discover Your Potential with . Bank – A Career for All Stages of Life

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- Join a Journey to Do Our Best: Career Opportunities with . Bank
- Be Part of a Unique and Inclusive Team at . Bank
- Explore Your Potential with . Bank's 1940 Act Paralegal / Regulatory Administrator Role

Summary:

As a 1940 Act Paralegal / Regulatory Administrator at . Bank, you will have the opportunity to assist in drafting and filing registration statements with the SEC. This role involves direct interaction with GFS clients, as well as working with a team of attorneys and fund administrators on multiple projects at once. You will have the chance to learn new skills, try new things, and discover what you excel at, all from day one.

Job Title: 1940 Act Paralegal / Regulatory Administrator
Experience: 2+ years of legal environment experience, preferably in a mutual fund, financial services, or law firm setting
Salary Range: - per hour (may vary based on location)
Job Type: Full-time, hybrid/flexible schedule
Locations: Milwaukee, WI, United States and Glendora, CA, United States
Categories: Corporate Functions & Risk Wealth Management

Job Description:

- Assist in drafting and filing regulatory filings required under federal securities laws
- Coordinate with internal colleagues and external clients to incorporate changes to large and complex documents
- Work with attorneys to plan and prepare for client board and shareholder meetings
- Coordinate, draft, and distribute legal documents, communications, resolutions, board meeting minutes, and more
- Manage project deadlines and report on regulatory initiatives
- Develop and implement department processes and policies
- Train and mentor new Regulatory Administrators or Paralegals
- Report and confirm regulatory project billing information

Basic Qualifications:

- Paralegal Certification from an accredited program or equivalent degree/experience

Preferred Qualifications:

- Energetic and self-motivated with strong organizational and proofreading skills
- Excellent communication and interpersonal skills (both oral and written)
- Strong computer skills, including proficiency in Microsoft Word
- Resourceful and able to problem-solve
- Ability to prioritize and work on multiple projects concurrently
- Adaptable to new software and processes
- Previous experience in a mutual fund, financial services, or law firm environment with exposure to securities matters is desired
- Knowledge of SEC and FINRA rules and regulatory filings for mutual funds/ETFs is a plus
- Minimum of an associate’s degree or equivalent experience

Benefits:

. Bank offers a comprehensive benefits package, including:

- Healthcare (medical, dental, vision)
- Life insurance
- Short-term and long-term disability
- Pregnancy disability and parental leave
- 401(k) and employer-funded retirement plan
- Paid vacation and holidays
- Adoption assistance
- Sick and Safe Leave accruals
- Flexible work schedule options

EEO and E-Verify:

. Bank is an equal opportunity employer committed to creating a diverse workforce. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability, or veteran status. The company participates in the . Department of Homeland Security E-Verify program to verify employment eligibility.

Join the . Bank team as a 1940 Act Paralegal / Regulatory Administrator and discover your potential with a company that values diversity, inclusion, and personal growth. Apply now and start your journey with . Bank today.

Not specified

Healthcare, life insurance, disability, leave, retirement plan, vacation, holidays, adoption assistance, sick and safe leave

Not specified

Paralegal Certification, organizational skills, proofreading skills, communication skills, drafting/writing skills, computer skills, problem-solving, adaptability, legal environment experience, SEC and FINRA knowledge, associate's degree

Paralegal Certification from an accredited program or equivalent degree/experience, minimum of associate's degree.

Interested applicants can apply through the company's website or by following the instructions in the job posting.

Qualification and Experience Paralegal Certification from an accredited program or equivalent degree/experience, minimum of associate's degree

Legal