Job Details

Senior Paralegal

Company name

Organization Type

In-House

Job Type

Legal Staff

Date Last Verified

Jul 02, 2021

Valid Through

Oct 15, 2021

Posted on

Jun 06, 2021

Min Salary/Max Salary

USD 70000 to 95000 Annually

Years of Experience

Min 5 yrs required

Location

Denver, CO, United States

Employment Type

Full-time

Industry

Legal
Practice Area
Corporate >> Corporate - Investment Company Act
Corporate >> Corporate - Securities and Capital Markets
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Profile

Senior Paralegal
Responsibilities: Serve all client needs including preparation of registration statements and/or other regulatory filings required under the Investment Company Act, Investment Advisors Act, Securities Act of 1933 and Securities and Exchange Act of 1934. Prepare drafts of regulatory documents for various mutual funds, exchange traded funds and closed-end funds for filing with the U.S. Securities and Exchange Commission (SEC), including Forms N-1A, N-2, N-CSR, N-PX, XBRL, PRE 14A, DEF 14A, and N-14 Review and sign off on EDGAR versions of regulatory filings prior to them being sent to the SEC. Participate in SEC comment calls with respect to registration statement filings and SOX reviews. Coordinate all aspects of tabulation/production of proxy materials for both routine proxies and special shareholder meetings, including obtaining quotes and engaging the proxy tabulator. Work with attorneys to plan and prepare for the respective fund board and shareholder meetings. Regularly attend and take minutes at client board meetings and often serve as officers of the various investment companies. Draft and distribute legal documents, communications, resolutions, board meeting minutes, correspondence, notices, proxies, agendas, ballots, and proxy statements. Assemble and review documents in response to subpoenas and regulatory reviews. Oversee the preparation and maintenance of multiple client regulatory filing and compliance calendars. Conduct legal research and compile data for attorneys, clients, and corporate personnel from various sources. Monitor and report on regulatory initiatives promulgated by various regulatory agencies such as the U.S. Securities and Exchange Commission and Financial Industry Regulatory Authority (FINRA). Partner with technical staff on the development of department databases.. Responsible for training and mentoring ICA Paralegals and Legal Assistants on department policies and procedures. Provide direction to ICA Paralegals and Legal Assistants on day-to-day and special projects.

Qualification and Experience

Qualifications: Bachelor’s degree and paralegal certification or equivalent work experience. 5 years’ experience with Investment Company and Investment Advisors Act of 1940 in the mutual fund industry preferred. Experience with EDGAR. Proficiency with legal terminology relevant to the industry. Excellent verbal and written communication skills and strong ability to communicate with a wide and diverse audience (both internal and external). Advanced spelling, grammar, and proofreading skills. Ability to work directly with clients on a daily basis.

Additional info

Ref. R251926

Company info

Hiring Coordinator
DST Systems, Inc.
1290 Broadway, Suite 1100
Denver, CO 80203

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