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Paralegal - Investment Disclosures, Mutual Funds & ETFs Responsibilities: Partner with attorneys and other legal staff to prepare SEC filings and other materials in connection with the requirements of the Securities Acts of 1933 and 1934, and the Investment Company Act of 1940. Prepare and review initial, annual, and amended registration statements which include statutory prospectuses, summary prospectuses and statements of additional information. Prepare and review additional filings including: shareholder proxy statements, XBRL filings, NSARs, prospectus & SAI supplements, and other mutual fund and securities-related SEC submissions. Prepare and draft various corporate documents for entity formation and maintenance of Funds. Gather and prepare documentation for Fund Board meetings. Collaborate with legal and marketing staff, other internal departments, and external auditors on registration statements. Assist attorneys with specialized functions including licensing, insurance, investments, compliance, broker dealer and institutional matters. Post and maintain Fund documents on OFI websites and the Accent Content Center. Assist in preparation of minutes, consents, corporate documents and filings. Maintain corporate and compliance files. Research questions on mutual funds and other securities-related/corporate matters. Assist with special projects as needed. Provide coverage for teammates as needed. Review and update NSAR form. Prepare documentation for SEC filing. Review and update sub-advised products by comparing against similar OFI Fund products. Assist attorneys in researching and/or drafting of language for sub-advised documents.
Qualification and Experience
Qualifications: College graduate or certificate in paralegal studies from an accredited institution. 2+ years of paralegal experience, ideally in a mutual fund or other corporate financial services or law firm environment with exposure to securities matters. Knowledge of SEC regulations and guidelines. General understanding of the Securities Acts of 1933 and 1934, and the Investment Company Act of 1940. Familiarity with the RR Donnelley Arc Prospectus Platform. Strong computer skills including Microsoft Word, Excel, PowerPoint, Outlook. Excellent research, communication and writing skills. Strong attention to detail. Proactive problem-solver. Accurate proofreader. Eagerness to learn. Ability to work independently and in a team environment. Knowledge of mutual funds and FINRA Rules a plus.
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