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Organization TypeLaw Firm
Years of Experience
Paralegal / Legal Assistant The candidate will be leading Investment Advisers and their representatives through the SEC and/or state registration process. Will be completing required regulatory annual filings. Creating and/or revising Investment Adviser disclosure documents, advisory agreements, and compliance documents. Reviewing marketing materials for compliance with applicable regulations. Reviewing and/or drafting employment agreements. Formation of legal entities. Bachelor’s Degree (English Major or Business Major, a plus) and/or Paralegal Certificate from an ABA Certified program is needed. Should preferably have 1 - 2 years of experience in the securities industry. Expertise in the Microsoft Office Suite is needed. Should possess a professional manner and judgment to enable a good working relationship with clients and co-workers sin Excellent communication, organizational and interpersonal skills are needed. Southern California candidates is preferred.
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