1940 Act Paralegal

Min 2 yrs required

Full-time

No

H1: . Bank - 1940 Act Paralegal - Full Time - Milwaukee, WI and Glendora, CA
H2: Join our team and make a difference!

Bullet Points:
- . Bank is seeking a 1940 Act Paralegal to join their team.
- This full-time position is available in two locations: Milwaukee, WI and Glendora, CA.
- The role involves assisting with drafting and filing registration statements with the SEC.
- Paralegals work closely with GFS Regulatory Administration attorneys and fund administrators.
- Responsibilities include coordinating with internal and external parties, project management, and monitoring regulatory initiatives.
- The ideal candidate will have a Paralegal Certification and strong computer skills, including Microsoft Word.
- Previous experience in a legal environment, ideally with exposure to securities matters, is preferred.
- The role offers a hybrid/flexible schedule, with an in-office expectation of 3 or more days per week.
- . Bank offers a comprehensive benefits package, including healthcare, retirement plans, and paid time off.
- The salary range for this position is - per hour, depending on location and qualifications.

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. Bank, a leading financial institution, is seeking a 1940 Act Paralegal to join their team. This full-time position is available in two locations: Milwaukee, WI and Glendora, CA. As a 1940 Act Paralegal, you will play a key role in assisting with drafting and filing registration statements with the SEC. This is a great opportunity to work closely with GFS Regulatory Administration attorneys and fund administrators while managing multiple complex projects.

Responsibilities:
- Prepare regulatory filings required under federal securities laws.
- Coordinate with internal and external parties to incorporate changes to large and complex documents.
- Work with GFS Regulatory Administration attorneys to plan and prepare for client board and shareholder meetings.
- Manage project deadlines and monitor and report on regulatory initiatives.
- Develop and implement department processes and policies.
- Mentor and train new Regulatory Administrators or Paralegals.
- Work on additional projects and duties as assigned.

Basic Qualifications:
- Paralegal Certification from an accredited program, or equivalent degree or experience.

Preferred Qualifications:
- Energetic self-starter with strong organizational and proofreading skills.
- Excellent communication and interpersonal skills (both oral and written).
- Above average drafting/writing skills.
- Strong computer skills, including Microsoft Word.
- Resourcefulness in problem-solving.
- Ability to establish priorities and work on multiple projects concurrently.
- Proven ability to adapt to new software and processes.
- 2+ years of legal environment experience, ideally in a mutual fund, financial services, or law firm environment with exposure to securities matters.
- Knowledge of SEC and FINRA rules or regulatory filings applicable to mutual funds/ETFs is a plus.
- Minimum of an associate’s degree is required, though previous related experience may be accepted in lieu of a degree.
- Evenings and weekends may be required during peak periods.

This role offers a hybrid/flexible schedule, with an in-office expectation of 3 or more days per week. . Bank also offers a comprehensive benefits package, including healthcare, retirement plans, and paid time off. If you require any accommodations during the application or hiring process, please refer to the disability accommodations for applicants.

. Bank is an equal opportunity employer committed to creating a diverse workforce. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability, or veteran status, among other factors. Applicants can learn more about the company’s status as an equal opportunity employer by viewing the federal KNOW YOUR RIGHTS EEO poster.

. Bank participates in the . Department of Homeland Security E-Verify program in all facilities located in the United States and certain . territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the . Citizenship and Immigration Services. Learn more about the E-Verify program.

Join the . Bank team as a 1940 Act Paralegal and make a difference in the financial industry. Apply now and discover your potential with us!

Not specified

Healthcare, Life Insurance, Disability, Parental Leave, Retirement Plan, Paid Time Off, Sick and Safe Leave, Adoption Assistance

Not specified

Paralegal Certification, Drafting, Filing, Content Management, Coordination, Project Management, Regulatory Initiatives, Process Implementation, Training, Mentoring, Billing, Organizational, Proofreading, Communication, Interpersonal, Drafting/Writing, Computer, Typing, Microsoft Word, Problem-Solving, Prioritization, Adaptability, Legal Environment, Securities, Mutual Funds, Financial Services, Law Firm, SEC, FINRA, Associate's Degree, Disability Accommodations

Paralegal Certification or equivalent degree/experience

Online through . Bank's website

Qualification and Experience Paralegal Certification from an accredited program or equivalent degree/experience, Associate's Degree or previous related experience

Legal