Blue Sky Paralegal

6 months ago

Charlotte, United States Alston & Bird Full time

JOB DESCRIPTION

Alston & Bird's is seeking an experienced Blue-Sky/Securities Paralegal to work in our Investment Funds practice group in one of our East Coast offices. Qualified candidates will have at least 5-10+ years’ experience in transactional areas as a paralegal to include Blue-Sky and Form-D experience, and experience working with state examiners and the Securities Exchange Commission (SEC). Candidates should be self-starters, highly organized, and team players. Overtime is often needed to meet client deadlines. ​
  • Prepares and files Form IDs with the SEC to obtain EDGAR Codes
  • Prepares and files Form Ds with the SEC and the States
  • Files Form Ds with the states, either electronically through EFD or by paper
  • Experience working with state securities regulatory administrators, as well as NASAA, the SEC, and FINRA
  • Performs blue sky research re: state exemptions. Monitors/tracks state status of registrations and/or exemptions renewals
  • Prepares and files state registration and/or exemption documents
  • Familiarity with submission of filings via and its Statements of Policy for various securities offerings
  • Prepare and File Form NF (for registered 1940 Act fund clients)
  • Prepare response letters to state securities commissioners
  • Familiarity with public companies with listed securities or companies that are subject to the ’34 Act reporting requirements
  • File periodic required 1933 and 1934 Act filings with state securities commissions.
  • Submit Section 16 Filings (Forms 3, 4, 5) on behalf of fund officers and directors/trustees
  • Manage submission of filings through SEC EDGAR system.
  • Basic research ability for state securities law research (primarily through CCH portal)
  • Experience in basic corporation, LLC, and LP formation
  • Provide backup assistance for the paralegals in the Investment Funds group and the Firm
  • Proofread and edit legal documents
  • Maintain current and accurate daily time record
  • Perform special projects as assigned
  • Ability to work overtime and irregular hours as dictated by the Firm and client needs
SKILLS NEEDED TO BE SUCCESSFUL
  • Ability to organize and prioritize numerous tasks and complete them under time constraints.
  • Interpersonal skills necessary in order to communicate and follow instructions effectively from a diverse group of clients, attorneys and staff and provide information with ordinary courtesy and tact.
  • Work typically requires more than 40 hours per week to perform the essential duties of the position; may require irregular hours.
​EDUCATION & EXPERIENCE
  • Completion of a four-year college degree is required, paralegal certificate optional.
  • 5-10+ Years of experience as a Transactional/Securities paralegal.

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