Job Details

Senior Paralegal Compliance

Company name

PennyMac Loan Services, LLC

Organization Type

In-House

Job Type

Legal Staff

Date Last Verified

Oct 12,2018

Posted on

Jul 25,2018

Years of Experience

Min 5 yrs required

Location

Westlake Village, CA
Practice Area
Corporate >> Corporate - Securities and Capital Markets
  Employer Sponsored Job (Free to apply to)
 
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Profile

Senior Paralegal, Compliance The candidate will be responsible for providing paralegal services in connection with the compliance obligations of the organization's registered investment adviser as specified by the Investment Advisers Act of 1940 as well as assisting with Section 16 securities filings under the Exchange Act. Assisting with the preparation of Form ADV amendments, ADV brochures, and other disclosure and regulatory documents. Assisting with drafting and auditing the Compliance Manual (policies and procedures). Conducting initial and annual compliance training. Administering Code of Ethics, including monitoring personal trading activities, reviewing personal brokerage statements, and ensuring all quarterly and monthly tasks are timely and accurately completed. Assisting with annual review of the Compliance Program. Assisting with internal audits, SEC audits or regulatory exams, as required. Working with the Senior Paralegal, Corporate, regarding corporate administration of the investment adviser. Preparing and filing Section 16 filings (Forms 3, 4, and 5); maintaining EDGAR access codes and Section 16 records. Documenting securities transaction pre-clearance requests and approvals. Calendaring all Rule 10b5-1 plans for Section 16 filers. Tracking annual equity award grants for Section 16 purposes. Assisting with the preparation of Form ADV amendments, ADV brochures, and other disclosure and regulatory documents. Assisting with drafting and auditing the Compliance Manual (policies and procedures). Conducting initial and annual compliance training. Administering Code of Ethics, including monitoring personal trading activities, reviewing personal brokerage statements, and ensuring all quarterly and monthly tasks are timely and accurately completed. Assisting with annual review of the Compliance Program. Assisting with internal audits, SEC audits or regulatory exams, as required. Working with the Senior Paralegal, Corporate, regarding corporate administration of the investment adviser. Documenting securities transaction pre-clearance requests and approvals. Tracking annual equity award grants for Section 16 purposes. Performing other related duties as required and assigned.

Qualification and Experience

The candidate must have Paralegal certificate or equivalent pursuant to B&P §6450. Should be in compliance with California Business & Professions Code Sections 6450-6456 (Paralegal compliance). Experience with Investment Advisers Act compliance is required. Experience with federal securities law compliance (Forms 3, 4, 5) is needed. Experience with drafting corporate and divisional policies and procedures is needed. Excellent written and verbal communication skills, with an ability to interface with executive management is must. Proficient in Excel and Word, as well as comfortable learning new applications is essential.

Additional info

Requisition ID: 18-4805

Company info

Hiring Coordinator
PennyMac Loan Services, LLC
3043 Townsgate Rd
Suite 200
Westlake Village, CA 91361

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