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Carrot Peelers, Sales, Personality and Your Job Search
Recruiter
Legal Staff
Corporate - Securities and Capital Markets
Max 7 yrs required
Temporary Paralegal The candidate will provide paralegal support to attorneys and business personnel advise and support the firm's mutual funds (open-end, closed-end and sub-advised funds). Support 1940 Act attorneys with maintaining, updating and organizing mutual fund registration documents and all exhibits, including routine contracts. Support attorneys and compliance personnel in tracking new laws, regulations and industry developments, and assist in communicating developments and new procedures to business personnel. Review marketing materials and make any necessary FINRA filings. Review routine SEC filings of funds and adviser and handle EDGAR filing process for all fund SEC filings. Coordinate with internal and external fund counsel on mutual fund filings including registration statements, proxy statements and prospectus stickers. Draft and update timelines, project plans and facilitate execution of routine quarterly and annual process for SEC filings. Research, retrieve and organize fund and adviser records, and assist attorneys with corporate governance matters. Work with marketing department and vendors to distribute fund prospectuses, proxy statements and prospectus supplements. Help prepare, obtain, assemble and disseminate Board materials. Must have College degree. Should have 0-7 years of paralegal experience, primarily in asset management. MS Word and Excel proficiency is required. Paralegal certificate is preferred. Knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940 and Security Act of 1933 is a plus. Law firm background or mutual fund legal or compliance background is helpful. Experience developing and analyzing exception reports is an asset.
JOB ID: U1042523
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