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Years of Experience
Senior Paralegal / Legal Analyst Duties: Independently drafting and filing Form ADVs with the SEC; creation of procedures and practice notes; responding to questions posed to the Form ADV mailbox, including substantive questions that require research and analysis; administration of Disciplinary Event Questionnaire process, including analysis of responses. Filing and support for CFTC filings and maintenance of the CTA compliance process. Other regulatory filings, including Form D and state notice filings. Support of alternative investment products, including: fund formation, Cayman Island registration, corporate governance, board support, and drafting of resolutions and other ancillary documents.
Qualification and Experience
Qualifications: Bachelor’s degree or equivalent training. Paralegal certificate desired. 5+ years as a paralegal or compliance analyst. 3-5 years of experience with regulatory filings or other corporate paralegal experience. Experience as a corporate paralegal in a law firm desirable, but not required. Self-starter/motivated. Critical thinking and analytical skills. Ability to work independently. Excellent verbal and written communication skills. Strong attention to detail. Ability to interact with senior management on a regular basis. Advanced knowledge of business desktop applications (i.e., Microsoft Word, Excel, PowerPoint, Access & Project, Windows, Visio, etc.) required.
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