• Location

    Greater Chicago Area, United States

  • Sector:

    Compliance & Financial Crime

  • Job type:


  • Contact:

    Kate Hickey

  • Job ref:


  • Published:

    about 2 years ago

  • Expiry date:


My client, a top-tier investment management firm is seeking an experienced legal professional to join their Legal & Compliance team as a Paralegal and help support the legal administration of the firms ETF & mutual fund investment platforms. The Paralegal will assist with SEC and other regulatory filings, as well as ad hoc projects assigned. 


  • Prepare for review drafts of registration statements for firm's mutual funds including annual updates, new funds, and new classes.
  • Review reports (annual, semi-annual & quarterly) for firm's mutual funds.
  • Prepare other regulatory filings and exhibits required each year for firm’s mutual funds.
  • Review material, including prospectuses and SAIs, for firm's sub-advisors and respond to requests for 15(c) material.
  • Review printing invoices for accuracy and approve for payment.


  • College degree or relative experience.
  • Paralegal certificate preferred.
  • 2+ years’ experience in an administrative support role in the financial services industry. 
  • 4+ years of legal experience required.
  • Familiarity with regulatory laws and requirements pertaining to securities and the investment management space and a background in SEC filings, required. 
  • Experience with mutual funds and/or ETFs is strongly preferred.