Support PDF,DOC,DOCX,TXT,XLS,WPD,HTM,HTML fils up to 5MB
Years of Experience
Date Last Verified
Paralegal Duties: Assist the Compliance team with maintenance of all SEC required documents and reporting obligations including: Maintaining ARAâ€™s Personal Trading Control Center (PTCC) system, Coordinating annual ethics code certification, Conducting quarterly pay-to-play certification, Conducting semi-annual â€œbad actorâ€ certification, Conducting quarterly gifts and entertainment certification, Conducting quarterly securities transactions report certification, Supporting employee and third-party service provider onboarding and offboarding compliance maintenance activities, and Completing Private Placement input in PTCC for employee contributions in the firmâ€™s value fund. Lead SEC Audit Preparation, including overseeing updates to mock audit responses and a quarterly update of Day One/Slide Deck Presentations. Coordinate timely review and approval to: Marketing and corporate communications collateral. Corporate webpage changes. Request for Proposal responses. Maintain accurate records of changes and updates. Prepare new, or amend existing, Loan Compliance checklists. Coordinate annual loan compliance review process with Asset Management. Review ARAâ€™s vendor contracts and send reminders to various departments regarding expiration and auto-renewals. Maintain tickler calendar reminders for General Counsel regarding upcoming contract auto-renewals. Maintain Disaster Recovery program, including managing quarterly and semi-annual updates of the firmâ€™s disaster recovery portal and documentation. Prepare Real Estate Operating Company (REOC) Certificates and Management Rights Letters for new deals. Prepare and distribute REOC certificates for signatures on an annual basis. Create REOC certificates during acquisition for deals that involve Joint Venture partners. Partner with Office Assistant to conduct annual off-site records clean-up. Oversee quarterly deletion of electronic files. Support annual compliance audit of Complianceâ€™s policies and procedures. Support annual campaign finance review activities, including: Reviewing all covered associateâ€™s political contributions, and Preparing a memo for General Counsel, Chief Compliance Officerâ€™s review and filing. Conduct quarterly reviews of ARA employeesâ€™ and third-party service providersâ€™ LinkedIn profiles to ensure compliance with SEC social media requirements. Complete periodic California Lobbyist Registration Filings, including: Filing annual Registration Renewal of lobbyist (Form 604) and ARA (Form 603) Filing quarterly Forms 615 (lobbyist) and 635 (ARA as lobby employer), and Coordinating annual ethics training course for lobbyists. Oversee semi-annual filing of Maryland Disclosure Statements. Oversee annual filing of Form 700 Statements Filings for San Jose and San Luis Obispo. Maintain blue sky tracking log to ensure compliance with State Securities Laws in the firmâ€™s Regulation D offerings. Ensure Marketing executes quarterly Portfolio Manager certificates. Maintain the Compliance Calendar and ensure compliance actions are taken according to schedule. Oversee and coordinate with Marketing ARAâ€™s annual ERISA Service Provider Disclosure Statement for the core fund. Lead ERISA bond/insurance applications preparation. In coordination with Marketing and other departments, prepare insurance applications and exhibits. Assist with other compliance related matters connected to the firmâ€™s commingled funds. Coordinate all entity formation, dissolution, and authorizations, including: Preparing engagement letters as directed by General Counsel, Monitoring formations/dissolutions with outside counsel, Overseeing written consents for loans, dispositions, and acquisitions, Coordinating with outside counsel on incumbency/good standings, Updating the organization chart and signature block list for new entities, Reviewing and processing outside counsel invoices for payment, Managing closing binder preparation including signing-off on final versions of the closing binder index, and Updating the Transaction History Log each time a transaction closes. Manage Annual Maintenance/Written Consents Processes, including: Overseeing preparation of Written Consents by Accounting, Monitoring updates of title holding entity list, Monitoring dissolution tickler of disposed of entities and coordinating with outside counsel on outstanding items, Working with outside counsel on annual maintenance filings, and Oversee written consents regarding appointment/election of officers and directors and stockholders on a yearly basis.
Qualification and Experience
Qualifications: Bachelorâ€™s degree in business or a related field required. Advanced degree in business or law preferred. 3+ years of prior corporate paralegal experience. Experience in firms such as law, accounting, investment banking, private equity or other similar industries, preferred. Is self-reliant, self-confident, adaptable and flexible, Must able to work effectively in teams and individually, Must be open to critical feedback, learn from it, and adjust course, Thrives on challenge and significant responsibility, Can work well under pressure with compressed project time frames, Is an exceptionally well organized and detail oriented individual, Is analytical and resourceful with the ability to strictly monitor and adhere to detailed processes and procedures, Is equipped with strong writing and oral communication skills, and Has excellent interpersonal skills and the ability to interact with diverse personalities.
Job Code: 300
Company infoHiring Coordinator