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Corporate and Compliance Paralegal The candidate will work on a variety of corporate legal matters, with a focus on corporate governance and corporate organization. Will assist Chief Compliance Officer with tasks and responsibilities related to implementation of the firm's securities law compliance program. Report to the General Counsel. Provide legal and administrative support to all levels of company and its sponsored funds. Develop and maintain a corporate records retention program, including serving as a custodian of corporate records and interfacing with internal and external resources regarding corporate governance and recordkeeping. Coordinate and maintain a database of subsidiaries, and draft and coordinate filing of various corporate documents including formation, qualification and/or dissolution documents, state business registrations, authorizations and annual reports. Own and maintain corporate authority structure, including delegations of authority and powers of attorney. Coordinate various aspects of Board of Directors and annual stockholder meetings for company and its sponsored funds, including meeting agendas, preparation and distribution of materials, and logistical and administrative arrangements. Prepare written consents, resolutions, certifications and other corporate documentation as needed under attorney guidance. Prepare and coordinate securities-law filings including beneficial ownership filings, Regulation D filings and Blue Sky law filings and renewals. Assist the Chief Compliance Officer with maintenance of the firmwide restricted list and implementation of employee personal trading policies and company's Insider Trading Policy. Assist with the implementation of company's Code of Ethics, including maintenance of compliance-related policies and processes and provide support for policy training, enforcement and compliance. Assist the Chief Compliance Officer with internal review and testing of the adequacy of policies and procedures. Assist with general legal and regulatory matters and work closely with legal, compliance, administration, and accounting teams. Consult with internal business, administration, tax, accounting, finance, and marketing teams. Stay informed about changes and developments in the business, applicable law, and best practices. Prioritize and manage multiple projects simultaneously, and follow through on issues in a timely manner. Should have a Bachelor's degree or equivalent combination of experience and education. ABA approved paralegal certification is preferred. Must have 5-10 years of experience as a paralegal specializing in corporate governance and organization. Experience as an in-house corporate paralegal and/or with Boards of Directors is a plus. Should have high level proficiency MS Office (including Word, Excel, PowerPoint and Outlook) and Adobe Acrobat.
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