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Years of Experience
Paralegal/Legal Assistant The candidate duties will include: On-the-job training; Heavy client contact, legal research and document drafting; Leading Investment Advisers and their representatives through the SEC and/or state registration process; 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; Travel during portions of the year. Should preferably have 1-2 yearsâ€™ experience in the securities industry. Must have Bachelorâ€™s Degree (English Major or Business Major, a plus) and/or Paralegal Certificate from an ABA Certified program. Expertise in the Microsoft Office Suite is needed.
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