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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Legal Staff
Corporate - Securities and Capital Markets
Max 3 yrs required
Fund Paralegal – Mutual Funds Responsibilities: Support 1940 Act attorneys with maintaining, updating and organizing mutual fund registration documents and all exhibits, including routine contracts. 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. Help prepare, obtain, assemble and disseminate Board materials . Support attorneys and compliance personnel in tracking new laws, regulations and industry developments, and assist in communicating developments and new procedures to business personnel. 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. Prepare and file forms under Section 16 of the Exchange Act. Prepare and file corporate governance forms and correspondence with the New York Stock Exchange. Coordinate with sub-advised clients and provide information for their fund filings. Recordkeeping, including electronic and paper document and file management. Work closely with and assist other members of the legal/compliance department.
Qualification and Experience
Requirements: 0–3 years' paralegal experience, asset management experience preferred. Law firm background or mutual fund legal or compliance background is strongly preferred. Knowledge of Investment Company Act of 1940, Investment Advisers Act of 1940 and Security Act of 1933 preferred but not required. Excellent oral, organizational and writing skills are required. Very strong analytical, project management and leadership skills are required. Ability to interact with personnel from all levels of the organization. Ability to multi-task and prioritize workload to meet deadlines in a fast-paced, dynamic environment. College degree required . Highly motivated, detail oriented and able to work independently. MS Word and Excel are required.
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