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Location : California - Beverly Hills
Refer to Job # XCYY740361
Paralegal/Legal Assistant The candidate maintain and service current client relationships. The position will include: On-the-job training; Heavy client contact, legal research and document drafting; Leading RIAs and their representatives through the SEC and/or state registration process; Completing required regulatory annual filings; Creating and/or revising RIA disclosure documents, advisory agreements, and compliance documents; Reviewing marketing materials; Reviewing and/or drafting employment agreements; Formation of legal entities; Travel during portions of the year. Overtime as required. 1 - 2 years experience in the securities industry preferred. Bachelors Degree (English Major or Business Major, a plus) and/or Paralegal Certificate from an ABA Certified program is required. Working knowledge of Investment Advisor's Act, 1940 Act (Investment Company Act), other securities regulations and/or FINRA Rules helpful.
Email: firstname.lastname@example.org NO CALLS PLEASE
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