Job Details

Legal Staff Paralegal in Kansas City, MO

Organization Type

In-House

Job Type

Legal Staff

Date Last Verified

Jul 25, 2021

Posted on

Mar 20, 2021

Years of Experience

Min 2 yrs required

Location

Kansas City, MO, United States
Practice Area
Contract Law >> Contract Law
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Profile

Municipal Syndicate Specialist
Duties: Review, scrutinize, and analyze third-party-generated data reports and ensure data is accurately described in legal disclosure documents (SEC Rule 15c2-12 continuing disclosure review). Monitor internal system for deals from creation to completion for compliance with policies and procedures. Anticipate needs of and support public finance investment bankers to satisfy their deal-related requirements under policies and procedures. Answer questions from public finance investment bankers about standard practice and application of policies and procedures. Work with Municipal Syndicate Coordinators to maintain all administrative work associated with Municipal Syndicate deals, to include: CUSIPs, award times, official statements, trade execution/correcting trade problems, settlement transactions, updating syndicate calendar, maintaining and ensuring accurate client files, etc. Work with Municipal Syndicate Coordinators to provide timely transaction information to the Municipal Securities Rulemaking Board (MSRB) and Depository Trust Company (DTC) upon successful deal awards to the Firm. Review engagement agreements regulatory documents, documents required under rules & regulations for accuracy. Meet and adhere to strict regulator guidelines ensuring all goals are met, while working with legal & regulator to complete documentation by expected timelines.

Qualification and Experience

Qualifications: Bachelor’s degree. 2+ years’ in contract management, paralegal, compliance or public finance. Series 52 or Series 7. Paralegal experience and background helpful. Proficient in Microsoft Excel, Word, PowerPoint, Outlook. Knowledge of SEC and FINRA rules/regulations, industry practice and how they apply to Firm policies and procedures. Ability to understand the language in offering documents. Knowledge of laws, government regulations, and the legal process.

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