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Attorney The candidate should have 1-3 years of experience in representing employee benefit funds in general ERISA matters or ERISA litigation. Strong writing skills, attention to ....
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Location : California - Beverly Hills
Refer to Job # KLNW741247
Paralegal/Legal Assistant The candidate will do heavy client contact, legal research and document drafting. Will work on 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. Travel during portions of the year. 1-2 years experience in the securities industry preferred. Must have Bachelors Degree (English Major or Business Major, a plus) and/or Paralegal Certificate from an ABA Certified program. Working knowledge of Investment Advisor's Act, 1940 Act (Investment Company Act), other securities regulations and/or FINRA Rules is helpful. Expertise in the Microsoft Office Suite is essential.
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