Greater Chicago Area, United States
about 2 years ago
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.