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Securities Compliance Paralegal
2 months ago
Job Title: Blue-Sky/Securities Paralegal at Alston & Bird
About the Company: Alston & Bird is seeking a skilled Blue-Sky/Securities Paralegal to support our Investment Funds practice group.
Ideal candidates will possess 5-10+ years of paralegal experience in transactional areas, particularly in Blue-Sky regulations and Form-D filings. A strong background in collaboration with state regulators and the Securities Exchange Commission (SEC) is essential. We value self-motivated individuals who excel in organization and teamwork. Please be aware that overtime may be required to fulfill client obligations.
Key Responsibilities:- Prepare and submit Form IDs to the SEC for EDGAR Code acquisition.
- File Form Ds with the SEC and relevant state authorities.
- Utilize electronic filing systems or paper submissions for state filings.
- Engage with state securities regulatory bodies, including NASAA, the SEC, and FINRA.
- Conduct blue sky research regarding state exemptions and monitor registration statuses.
- Draft and file state registration and exemption documentation.
- Understand submission protocols for various securities offerings.
- Prepare and file Form NF for registered 1940 Act fund clients.
- Draft response letters for state securities commissioners.
- Familiarity with public companies subject to '34 Act reporting requirements.
- File periodic 1933 and 1934 Act documents with state securities commissions.
- Manage Section 16 Filings (Forms 3, 4, 5) for fund officers and directors.
- Oversee filing submissions through the SEC EDGAR system.
- Conduct basic research on state securities laws.
- Assist in the formation of corporations, LLCs, and LPs.
- Provide support to paralegals within the Investment Funds group.
- Review and edit legal documents for accuracy.
- Maintain precise daily time records.
- Undertake special projects as assigned.
- Be prepared to work overtime and irregular hours as needed.
- Strong organizational and prioritization skills to manage multiple tasks under tight deadlines.
- Excellent interpersonal skills for effective communication with clients, attorneys, and staff.
- Willingness to work beyond standard hours to fulfill job responsibilities.
- A four-year college degree is required; a paralegal certificate is preferred.
- 5-10+ years of experience as a Transactional/Securities paralegal.
