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Location : California - Beverly Hills
Refer to Job # IXNJ709789
Paralegal / Legal Assistant The candidate will be managing heavy client contact, legal research and document drafting. Will be leading RIAs and 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. Bachelor s Degree (English Major or Business Major, a plus) and/or Paralegal Certificate from an ABA Certified program is needed. Should preferably have 1 - 2 years of experience in the securities industry. Series 6 and/or Series 7 and/or series 24, series 66 or series 65 preferred (we can hold your current FINRA licenses) is needed. Working knowledge of Investment Advisor's Act, 1940 Act (Investment Company Act), other securities regulations and/or FINRA Rules is preferred. ERISA and DOL (Department of Labor) knowledge in the area of retirement plans is a plus. Expertise in the Microsoft Office Suite. Excellent communication, organizational and interpersonal skill is needed.
Email: firstname.lastname@example.org NO CALLS PLEASE
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