1940 Act Paralegal

Min 2 yrs required

Full-time

No

Summary:

- Job Title: 1940 Act Paralegal / Regulatory Administrator
- Company: . Bank
- Job Type: Full-time
- Locations: Milwaukee, WI, United States; Glendora, CA, United States
- Categories: Corporate Functions & Risk Wealth Management
- Salary Range: - - per hour
- Job ID: 2024-0006566
- Posted Date: 03/29/2024

Overview:

. Bank is on a journey to do their best by helping customers and businesses make smarter financial decisions and supporting communities to grow and succeed. They believe that each person is unique in their potential and offer a wide range of opportunities for career growth and development from Day One.

Job Description:

The 1940 Act Paralegal / Regulatory Administrator plays a crucial role in interacting with GFS clients and assisting in drafting and filing registration statements with the SEC. They work closely with the GFS Regulatory Administration attorneys and fund administrators to manage multiple complex projects at any given time.

Responsibilities:

- Prepare regulatory filings required under federal securities laws using a content management system
- Coordinate with internal and external parties to incorporate changes to large and complex documents
- Work with attorneys to plan and prepare for client board and shareholder meetings
- Draft and distribute legal documents, communications, resolutions, and more
- Project management for deadlines and reporting on regulatory initiatives
- Develop and implement department processes and policies
- Train and mentor new Regulatory Administrators or Paralegals
- Report and confirm regulatory project billing information

Basic Qualifications:

- Paralegal Certification from an accredited program or equivalent degree/experience

Preferred Qualifications:

- Energetic self-starter with strong organizational and proofreading skills
- Excellent communication and interpersonal skills
- Above-average drafting/writing skills
- Strong computer skills, including Microsoft Word
- Resourcefulness in problem-solving
- Ability to prioritize and work on multiple projects simultaneously
- Proven ability to adapt to new software and processes
- 2+ years of legal environment experience, preferably in a mutual fund or financial services setting
- Knowledge of SEC and FINRA rules and regulatory filings for mutual funds/ETFs
- Minimum of an associate’s degree or equivalent experience
- Availability to work evenings and weekends during peak periods

Benefits:

. Bank offers a comprehensive benefits package that includes healthcare, life insurance, disability, retirement plans, paid time off, and more. They also offer flexible/hybrid work schedules, with the expectation of 3 or more days in the office per week.

Equal Opportunity Employer:

. Bank is an equal opportunity employer committed to creating a diverse workforce. They consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability, or veteran status.

E-Verify:

. Bank participates in the . Department of Homeland Security E-Verify program to verify employment eligibility for all employees.

Salary Information:

The salary range for this role is - - per hour, with the actual range varying based on location.

Application Information:

Job postings typically remain open for approximately 20 days, but may close earlier if the position is no longer needed. In high-volume areas, such as customer service and financial crimes investigations, job postings may remain open for approximately 5 days.

Not specified

Healthcare, Life Insurance, Disability, Pregnancy and Parental Leave, Retirement Plan, Vacation, Holidays, Adoption Assistance, Sick and Safe Leave

Not specified

Paralegal Certification, Organizational Skills, Proofreading, Communication, Interpersonal, Drafting/Writing, Computer Skills, Microsoft Word, Problem-Solving, Time Management, Adaptability, Legal Environment, Mutual Funds, Financial Services, Law Firm, SEC Rules, FINRA Rules, Regulatory Filings, Associate's Degree

Paralegal Certification from an accredited program, or equivalent degree or experience. Minimum of an associate’s degree is required, though previous related experience may be accepted in lieu of a degree.

Interested candidates can apply through the company's website or by contacting the company's HR department.

Legal