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Title : Investment Services Paralegal

Location : Illinois - Chicago
Refer to Job # PGRD853026

Investment Services Paralegal Duties: Prepare and review filings with the Securities and Exchange Commission through the EDGAR system for mutual funds, investment advisers and broker-dealers, including Forms N-1A, N-2, N-4, Forms N-14, proxy statements, 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 and related fillings through the CRD 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 is 1500. Qualifications: Bachelor's degree preferred. An ABA-approved paralegal certificate is preferred. Should preferably have 1 year of investment services-related paralegal experience. 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 is a plus. Working knowledge of securities laws and regulations (1940 Act, Advisers Act, 1933 Act, 1934 Act, CFTC). Excellent written and verbal communication skills. The ability to work under pressure to meet strict deadlines. Proficiency in Microsoft Office programs including Word, Excel and PowerPoint.

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