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Years of Experience
Date Last Verified
ProfileParalegal The candidate will be responsible for: Advising on and complying with the Securities Exchange Act of 1934, the Investment Advisers Act of 1940, FINRA rules and state securities laws and regulations, including: Creating, updating and filing Form BD and Form ADV amendments, ADV brochures and other disclosure documents; Coordinating input to disclosure documents from business lines (including product and investment personnel), outside counsel and outside accountants; Reviewing and advising on marketing and advertising materials regarding broker dealer and investment advisory products and services; Directly interacting with senior field distribution leadership at the direction of an attorney; Assisting with other legal and regulatory matters that touch and concern broker dealer and investment advisory products and services, including product review and due diligence, conflicts of interest, compensation issues, disclosures, supervisory issues, preparing other legal filings and organizing and maintaining legal files and records, and performing legal research and preparing analysis of SEC, FINRA and state rules and regulations to provide viable, solutions-orientated recommendations for our business partners. Preparing legal documents, including legal memoranda and responses to inquiries by federal state regulators, and FINRA; Reviewing, revising and assisting in negotiating clearing agreement with third-party provider for clearing, custodial, execution and reporting services to the introducing broker dealers’ customers; Reviewing, revising and assisting in negotiating agreements that touch and concern the investment advisory services; Reviewing, revising and assisting in negotiating selling agreements with the mutual fund companies or their service providers in the capacity as an introducing broker dealer, and as a principal underwriter and distributor of mutual funds; Researching legal and regulatory requirements and industry practices relevant to business issues presented to the General Counsel's Office and provide advice and recommendations appropriate to level of knowledge and research performed; Managing and productively contributing to business initiatives and projects. College degree and paralegal certificate is essential. Should have 5+ years related experience.
625 Fourth Ave. S.
Minneapolis, MN 55415-1624