Corporate and Regulatory Legal Consultant

1 day ago

Newport Beach, California, United States SPF Legal Consulting Full time

ABOUT THE ROLE

Our client, a large asset manager, is seeking a legal consultant to work on corporate and regulatory matters, including certain filings.

RESPONSIBILITIES

Key responsibilities include, but are not limited to:


• Assist in preparing regulatory filings, including by utilizing filing software where applicable.


• Coordinate with internal and external counsel review of regulatory filings.


• Work with internal teams to produce responses to information and due diligence requests


• Assist in the preparation and organization of board materials


• Assist attorneys with miscellaneous special projects as they are assigned


• Draft, review, organize, and revise agreements


• Maintain records of regulatory, contractual, and legal matters

POSITION REQUIREMENTS

· Bachelor's Degree required

· Prior experience with a law firm or in-house paralegal/regulatory specialist experience

· Proficiency in Microsoft Suite

PREFERRED QUALIFICATIONS

· Regulatory filing experience preferred (e.g., CFTC, SEC, NFA, DOL, FINRA, etc.)

· Knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940

· Demonstrated ability to interpret laws and regulations

PROFESSIONAL SKILLS REQUIREMENTS

· Excellent communication (verbal and written), facilitation, and interpersonal skills, including the ability to interact across all levels of an organization as well as external stakeholders

· Strong analytical and organizational skills and the ability to manage multiple time sensitive tasks in a challenging, fast paced, deadline driven, and fluid environment

· Ability to generate solutions and appropriately escalate to management

· Ability to maintain a high level of confidentiality and integrity

· Meticulous attention to detail

· Quick learner and adaptable to learn new processes, concepts, and skills; ability to take initiative in learning and applying new skills

· Highly motivated self-starter with the ability to work collaboratively and independently

· Demonstrated competence in thinking strategically, analytically, conceptually, and innovatively, including the ability to synthesize and analyze data

· Ability to multi-task, work in a demanding, fast paced environment and handle multiple, competing priorities and projects with high quality output

· Demonstrated ability to navigate unstructured processes and simultaneously manage responsibilities of multiple-concurrent projects and competing demands

· Clear commitment to culture, values, and approach

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