Law Firm
New York City, NY
Legal Staff Paralegal in New York City, NY
Legal Staff
5-10 yrs required
No
Job Title:
Paralegal - Investment Funds
Job Responsibilities:
- Prepare and file Form IDs with the Securities and Exchange Commission (SEC) to obtain EDGAR Next Codes.
- Prepare and file Form Ds with the SEC and various states.
- Work with state securities regulatory administrators, as well as NASAA, the SEC, and FINRA.
- Conduct blue sky research regarding state exemptions and monitor/track the state status of registrations and/or exemptions renewals.
- Prepare and file state registration and/or exemption documents.
- Utilize NASAA’s Electronic Filing Depository for submissions and adhere to its Statements of Policy for various securities offerings.
- Prepare and file Form NF for registered 1940 Act fund clients.
- Draft response letters to state securities commissioners.
- Familiarity with public companies with listed securities or companies subject to the '34 Act reporting requirements.
- File periodic required 1933 and 1934 Act filings with state securities commissions.
- Submit Section 16 Filings (Forms 3, 4, 5) on behalf of fund officers and directors/trustees.
- Manage submission of filings through the SEC EDGAR Next system.
- Conduct basic state securities law research primarily through the CCH portal.
- Experience in basic corporation, LLC, and LP formation.
- Provide backup assistance for the paralegals in the Investment Funds group and the law firm.
- Proofread and edit legal documents.
- Maintain current and accurate daily time records.
- Perform special projects as assigned.
- Ability to work overtime and irregular hours as dictated by the law firm and client needs.
Education and Experience:
- Completion of a four-year college degree is required; a paralegal certificate is optional.
- 5-10+ years of experience as a transactional/securities paralegal.
Salary Information:
- In accordance with the New York City Human Rights Law, the hourly salary range for this position in New York City is $105,000 to $140,000, depending on qualifications and experience. This range is specific to New York City and may not be applicable to other locations. The position is based on a 35-hour work week subject to overtime.
Notes:
- The law firm is an Equal Opportunity Employer and does not discriminate on the bases of any status protected under federal, state, or local law.
- Additional duties and responsibilities may be assigned, and requirements may vary from time to time.
- Professional business references and a background screening will be required for all final applicants selected for a position.
- The law firm is not currently accepting resumes from agencies for this position.
May 29, 2025
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