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Title : Legal Staff Paralegal in Beverly Hills, CA

Location : California - Beverly Hills
Refer to Job # MWEU699325

Paralegal The candidate 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. 1-2 years experience in the securities industry preferred. Bachelor s Degree (English Major or Business Major, a plus) and/or Paralegal Certificate from an ABA Certified program is essential. 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 preferred. ERISA and DOL (Department of Labor) knowledge in the area of retirement plans are a plus.

Email: jobs@lawfirmstaff.com NO CALLS PLEASE

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