Job Details

Compliance Paralegal

Company name

Artivest Holdings, Inc.

Organization Type


Job Type

Legal Staff

Date Last Verified

Mar 19,2019

Valid Through

Jul 02,2019

Posted on

Feb 27,2019

Years of Experience

Min 2 yrs required


New York City, NY, United States

Employment Type



Practice Area
Finance >> Finance - General
Tax >> Tax - General
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Compliance Paralegal
The candidate will assist on fund launches with project team to ensure proper legal formation of entity, including obtaining Tax ID, CUSIP, and CA state registration; ensure all required legal documents are on file; Ensure offering documents are updated periodically and available for new investors; Coordinate with legal counsel for corporate filings (i.e: 8K, 10K, 10Q, etc); Coordinate Edgar filings for all Artivest entities (i.e. Form D, Section 13, etc); Coordinate and maintain tracking of selling and distribution agreements with third parties, as needed; Monitor and coordinate Blue Sky Filings; Review, complete and coordinate checklists and requests for documents from managers, broker, investors, and/or regulators; Assist with quarterly and annual Fund reporting as needed (Form PF, CPO-PQR, ADV, etc); Review legal documents such as NDAs and vendor contracts; Assist with legal review of legal documents and disclosures for new investments within the Funds as needed; Maintain books and records as required by regulatory agencies. Must have Bachelor’s degree. Must have 2+ years of compliance experience within the financial industry (preferably with a regulator, asset-management or broker-dealer firms). Law degree or experience as a paralegal. Must have proficiency in MS Office and Adobe Applications (including Word, Excel, and Acrobat Professional). Should have paralegal experience or desire to learn about legal document drafting.

Company info

Hiring Coordinator
Artivest Holdings, Inc.
1140 Broadway
Suite 1501
New York City, NY 10001

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