Paralegal assisting litigation attorneys in building cases, gathering evidence, and attending trials. Seeking organized, driven individuals to make an impact on clients’ lives.
About the role
- Senior Paralegal handling regulatory filings and client interactions in a hybrid role for a leading financial services company. Collaborating with attorneys on compliance and governance tasks.
Responsibilities
- Serve all internal and external client needs including preparation of registration statements and/or other regulatory filings required under the Investment Company Act, Investment Advisers Act, Securities Act of 1933 and Securities and Exchange Act of 1934.
- Prepare drafts of regulatory documents for various mutual funds, exchange-traded funds and closed-end funds for filing with the U.S. Securities and Exchange Commission (SEC), including Forms N-1A, N-2, N-CSR, N-PX, PRE 14A, DEF 14A and N-14.
- Review EDGAR versions of regulatory filings and file with the SEC.
- Coordinate production of proxy materials for both routine proxies and special shareholder meetings, including obtaining quotes and engaging the proxy tabulator.
- Collaborate with attorney team members to plan and prepare for fund board and shareholder meetings.
- Attend client board meeting and take minutes as needed.
- Draft and distribute legal documents, communications, resolutions, board meeting minutes, correspondence, notices, proxies, agendas, and proxy statements.
- Oversee the preparation and maintenance of multiple client board meetings and compliance calendars.
- Monitor and report on regulatory initiatives promulgated by various regulatory agencies.
- Mentor junior paralegal team members on department policies and procedures, day-to-day tasks and special projects.
- Other jobs as assigned.
Requirements
- Bachelor's degree, paralegal certification or equivalent work experience.
- 3-5 years of experience with mutual fund, corporate governance or regulatory filing strongly preferred.
- Knowledge of Investment Company and Investment Advisers Act of 1940 strongly preferred.
- Experience with EDGAR.
- Proficiency with legal terminology relevant to the industry.
- Excellent verbal and written communication skills and strong ability to communicate with a wide and diverse audience (both internal and external).
- Advanced spelling, grammar, and proofreading skills.
- Ability to work directly with clients on a daily basis.
- Must be willing to work 6 days per month in one of our offices
Benefits
- Flexibility: Hybrid Work Model and Business Casual Dress Code, including jeans
- 401k Matching Program
- Professional Development Reimbursement
- Flexible Personal/Vacation Time Off
- Sick Leave
- Paid Holidays
- Medical, Dental, Vision, Employee Assistance Program, Parental Leave
- Discounts on fitness clubs, travel and more!
Job title
Job type
Experience level
Salary
Degree requirement
Location requirements
Paralegal assisting litigation attorneys in Raleigh, North Carolina. Collaborating to gather evidence and support litigation efforts with trial preparation.
Paralegal assisting litigation attorneys in a nationally recognized plaintiffs' firm. Collaborating on evidence gathering and trial preparations in a fast - paced environment.
Paralegal assisting with Camp Lejeune water contamination claims for personal injury. Providing client support, handling documentation, and managing high - volume caseload.
Corporate Paralegal providing legal services for Cloudflare's corporate governance and SEC compliance. Collaborating with internal teams and external partners in a fast - paced environment.
Judicial Assistant role supporting appellate Justices at the Court of Appeal of Alberta. Responsible for legal and administrative support tasks in a fast - paced court environment.
Paralegal joining DWF's Motor Recoveries team in Liverpool. Handling caseloads of motor recoveries claims and assisting with legal documentation and research.
Paralegal supporting serious injury claims in a dynamic litigation environment. Focused on claimant work within a recognized serious injury team handling complex cases.
Paralegal managing Road Traffic Accident injury claims at DWF. Engaging with clients and handling a caseload of RTA claims from minor to complex.
Paralegal managing Credit Hire claims for high - profile clients in a hybrid role. Joining a team at DWF with a supportive and collaborative culture.