Securities Paralegal Expert
6 days ago
Alston & Bird's Investment Funds practice group is seeking an experienced Blue-Sky/Securities Paralegal to work in one of our East Coast offices. The ideal candidate will have at least 5-10+ years of experience in transactional areas as a paralegal, including Blue-Sky and Form-D experience, and experience working with state examiners and the Securities Exchange Commission (SEC).
Key Responsibilities- Preparation and Filing of Regulatory Documents
The successful candidate will be responsible for preparing and filing Form IDs with the SEC to obtain EDGAR Codes, as well as preparing and filing Form Ds with the SEC and the States.
- State Securities Regulatory Experience
The ideal candidate will have experience working with state securities regulatory administrators, as well as NASAA, the SEC, and FINRA.
- Blue Sky Research and Registration
The successful candidate will perform blue sky research regarding state exemptions, monitor and track state status of registrations and/or exemptions renewals, and prepare and file state registration and/or exemption documents.
- Submission of Filings and Statements
The ideal candidate will be familiar with submission of filings via EDGAR and its Statements of Policy for various securities offerings, as well as prepare and file Form NF for registered 1940 Act fund clients.
- Periodic Filings and Section 16 Filings
The successful candidate will file periodic required 1933 and 1934 Act filings with state securities commissions and submit Section 16 Filings (Forms 3, 4, 5) on behalf of fund officers and directors/trustees.
- Time Management and Special Projects
The ideal candidate will manage submission of filings through the SEC EDGAR system, perform basic research for state securities law research, and provide backup assistance for the paralegals in the Investment Funds group and the Firm.
- Education and Experience
A four-year college degree is required, and a paralegal certificate is optional. The ideal candidate will have 5-10+ years of experience as a Transactional/Securities paralegal.
- Skills and Abilities
The successful candidate will have the ability to organize and prioritize numerous tasks, complete them under time constraints, and communicate effectively with a diverse group of clients, attorneys, and staff.
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Charlotte, North Carolina, United States Alston & Bird Full timeJob SummaryAlston & Bird's Investment Funds practice group is seeking an experienced Blue-Sky/Securities Paralegal to work in one of our East Coast offices. The ideal candidate will have at least 5-10+ years' experience in transactional areas as a paralegal, including Blue-Sky and Form-D experience, and experience working with state examiners and the...
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