Paralegal- Securities Enforcement

1 month ago

Fort Washington, United States JBA International Full time

A global law firm is seeking a paralegal with securities enforcement & regulatory experience for their Washington D.C. office. From high-profile transactions to regulatory issues and complex litigation, our lawyers harness their knowledge across multiple legal disciplines to provide a holistic perspective for sophisticated matters. The Regulatory Paralegal will assist lawyers by working on all aspects of regulatory work, including assisting with research, drafting documents, preparing filings, and other tasks within the Securities Enforcement and Regulatory group. Some travel may be required. This firm prides itself on offering lawyers and professional staff, countless opportunities to apply their talents toward important, challenging projects on a global stage. Their office culture attracts people with diverse skills and backgrounds who are dedicated to teamwork, collaboration, and superior client service.

Summary:
The Regulatory Paralegal will assist lawyers by working on all aspects of regulatory work, including assisting with research, drafting documents, preparing filings, and other tasks within the Securities Enforcement and Regulatory group. Regulatory and litigation paralegals are similar, but regulatory has a specialization with the SEC. Litigation deals with two opposing councils arguing and going to court. Regulatory slightly differs as subpoenas come from the government, which has several different agencies to ensure businesses are staying within SEC guidelines. This Regulatory Paralegal will be filing with regulatory agencies regularly, playing a large role in submitting and preparing these filing documents.

Duties and Responsibilities:

  • Preparing, reviewing, formatting and filing reports with the SEC. In particular, experience with reports required under Section 13(d), 13(f), 13(g), 13(h) and/or Section 16 of the Securities Exchange Act of 1934 preferred
  • Generating SEC filing codes for individuals and entities
  • Preparing Rule 16b-3 Board / Comp Committee resolutions for public companies
  • Identifying, analyzing and calculating potential short-swing profit liability under Section 16(b) and preparing responses to Section 16(b) demand letters
  • Researching and analyzing novel legal questions pertaining to SEC beneficial ownership filing requirements and preparing memoranda concerning such advice
  • Ability to prioritize and manage multiple assignments under tight deadlines
  • Excellent written and oral communication skills
  • Strong research skills
  • Experience with proofreading
  • Edit and format written submissions using Word styles
  • Manage electronic and hard copy documents through litigation technology
  • Legal and factual cite checking including the ability to shepardize and Blue Book a brief
  • Thorough understanding of court rules and filing requirements
  • Knowledge of Lexis-Nexis, Westlaw and internet search engines for research purposes
  • Knowledge of SEC, FINRA, CFTC and NYSE
  • Supervise project assistants and temporary staff

Qualifications:
To perform this job successfully, an individual must be able to perform the Duties and Responsibilities (Duties) above satisfactorily and meet the requirements below. The requirements listed below are representative of the minimum knowledge, skill, and/or ability required. Reasonable accommodations will be made to enable individuals with disabilities to perform the essential functions of the job.

Education and/or Experience:
Required:
  • Bachelor's degree
  • Proficient at Microsoft Office applications
Preferred:
  • Three to ten years of paralegal experience at a medium or large law firm
  • Experience working in securities/regulatory practice
Other Skills and Abilities:
In addition to the above, the following may also be required of the successful candidate:
  • Experience working in securities/regulatory legal practice
  • Excellent organizational skills
  • Excellent attention to detail
  • Strong sense of good judgment
  • Well-developed analytical and problem solving skills
  • Works harmoniously and effectively with others as part of a team
  • A self-starter who desires to show ownership and commitment to the job
  • Exercises confidentiality and discretion
  • Strong proofreading skills
  • Strong PowerPoint skills

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