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Carrot Peelers, Sales, Personality and Your Job Search
Law Firm
Legal Staff
Corporate - Securities and Capital Markets
Paralegal/Legal Assistant The candidate will have heavy client contact, legal research and document drafting. Will be leading RIAs and their representatives through the SEC and/or state registration process. Completing required regulatory annual filings. Creating and/or revising RIA disclosure documents, advisory agreements, and compliance documents. Reviewing marketing materials. Reviewing and/or drafting employment agreements. Formation of legal entities. Should have Bachelor’s Degree (English Major or Business Major, a plus) and/or Paralegal Certificate from an ABA Certified program. Working knowledge of Investment Advisor’s Act, 1940 Act (Investment Company Act), other securities regulations and/or FINRA Rules helpful. Expertise in the Microsoft Office Suite is required. Must have excellent communication, organizational and interpersonal skills.
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