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Location : District of Columbia - Washington
Refer to Job # SNEC794297
Investment Services Paralegal The candidate will assist with SEC filings and a variety of corporate, securities and transactional matters supporting the Investment Services group. Prepare and manage various filings and related materials. Perform document preparation and distribution as well as post-closing document preparation and distribution. Support all aspects of private funds group including all aspects of fund formation., closings, and ongoing filing obligations for private funds and private fund advisers including Form ADV and Form D. Prepare and review filings with the Securities and Exchange Commission through the EDGAR system for mutual funds, private funds, investment advisers and broker-dealers, including Forms N-1A, N-2, N-4, Forms N-14, proxy statements, D and Schedules 13G/13D/13HD, Forms N-Q and Forms N-CSR. Prepare and review Forms ADV and amendments for advisers and exempt reporting advisers through IARD system. Draft and maintain closing checklists; maintain and manage closing deliverables; prepare and compile closing opinion diligence; prepare closing books; perform attorney support for business transactions. Prepare SEC filing opinions; prepare and manage filing opinion diligence. Draft and maintain corporate legal and governance documents. Conduct research related to filings and business transactions through both print and electronic sources. Assist attorneys with filings, opinions and business transactions. Review and organize due diligence materials. Draft closing documents and correspondence. Prepare closing sets and post-closing documentation. Analyze and organize client records. Work with corporate vendors to attend to the filing of governmental and agency filings for fund and adviser clients. Billable Hours Expectation: 1500.
The candidate should preferably have Bachelor's degree. ABA-approved paralegal certificate is preferred. At least 1 year of investment services related paralegal experience preferred. Experience with SEC filing systems including EDGAR and IARD preferred. Private fund or registered mutual fund experience preferred. Experience in investment services or mutual fund compliance a plus. Skills & Competencies: Working knowledge of securities laws and regulations (1940 Act, Advisers Act, 1933 Act, 1934 Act, CFTC); Proficiency in Excel and legal databases; Strong research skills; Excellent written and verbal communication skills; Strong organizational skills; Keen attention to detail; Ability to perform multiple tasks in a fast-paced environment; Ability to work independently under tight deadlines; Willingness to work overtime. Computer Skills: Proficient in Microsoft Office programs including Word, Excel and PowerPoint.
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