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Organization TypeLaw Firm
Years of Experience
Date Last Verified
Investment Services Paralegal Duties: Assist with SEC filings and a variety of corporate, securities and transactional matters supporting the Investment Services group. Prepare and manage various filings and related materials. Perform document preparation and distribution as well as post-closing document preparation and distribution. This position entails direct interface with attorneys and clients. Prepare and review filings with the Securities and Exchange Commission through the EDGAR system for mutual funds, private funds, investment advisers and broker-dealers, including Forms N-1A, N-2, N-4, Forms N-14, proxy statements, Forms D and Schedules 13G/13D/13HD, Forms N-Q and Forms N-CSR. Prepare and review Forms ADV and amendments for advisers and exempt reporting advisers through IARD system. Draft and maintain closing checklists; maintain and manage closing deliverables; prepare and compile closing opinion diligence; prepare closing books; perform attorney support for business transactions. Prepare SEC filing opinions; prepare and manage filing opinion diligence. Draft and maintain corporate legal and governance documents. Conduct research related to filings and business transactions through both print and electronic sources. Assist attorneys with filings, opinions and business transactions. Review and organize due diligence materials. Draft closing documents and correspondence. Prepare closing sets and post-closing documentation.
Qualification and Experience
Qualifications: A bachelorâ€™s degree is required and an ABA-approved paralegal certificate is preferred. 3+ yearsâ€™ experience in the corporate or securities field. Experience with SEC filing systems including EDGAR and IARD. Proficiency in Excel and legal databases. Working knowledge of securities laws and regulations (1940 Act, Advisers Act, 1933 Act, 1934 Act, CFTC). Private fund or registered mutual fund experience. Experience in investment services or mutual fund compliance a plus.
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