Paralegal Analyst

Principal Financial Group • Des Moines, IA

9h • $27 - $73 • Hybrid

About The Position

As a Paralegal Analyst, you will work as a professional assistant in the department by providing support to the Law Variable Products SEC Team in the preparation, filing, and maintenance of registration statements, post-effective amendments, and ongoing regulatory disclosures for registered insurance products. Manage highly complex, large projects with a high degree of independence and initiative to include project planning, setting objectives, and ensuring goal attainment. Set and approve guidelines and procedures and advance the company goals and strategies.
Here are some of things you’ll be doing:
Help prepare, coordinate, and manage SEC filings for variable life insurance and variable annuity products with attorney oversight including: Registration statements on Form N-4 and N-6, Post-effective amendments, supplements, and sticker filings, and Statutory Prospectuses, Summary Prospectuses, Statements of Additional Information, etc.
Coordinate EDGAR filings, including document formatting, tagging, proofing, and submission.
Help to maintain and update other required disclosure documents to reflect regulatory changes, product updates, and operational developments.
Assist in responding to SEC, FINRA, IRS, and/or DOL comments and regulatory inquiries as needed.
Support new product launches, substitutions, and mergers involving variable products.
Handle other ad hoc matters as assigned.
Perform a wide variety of complex legal and/or legislative research and analyze legislation, regulations, laws, statutes and/or administrative rules and apprise department lawyers, and clients.
Draft highly complex legal and or legislative/regulatory memorandum, documents, and forms to fully respond to various legal/legislative issues and develop systems policies and procedures for the department or the company.
Create, organize, and maintain various systems and procedures used in the department and contribute and maintain procedural and substantive manuals for the department's clients.
Perform other job-related duties and special projects as required.

Requirements

• Paralegal degree, certification, or equivalent, plus a minimum of 6+ years related legal and/or legislative/regulatory experience.
• Minimum 3+ years prior experience in-house at an insurance company or in an asset management corporate position.
• Exceptional attention to detail and ability to manage multiple filings and deadlines simultaneously.
• Strong organizational, time-management skills, and proofreading skills.
• Strong analytical and negotiation skills.
• Proficiency with Microsoft Office, Excel, document management systems (Workiva, Arc Pro).
• General working knowledge of the Securities Act of 1933 and Investment Company Act of 1940 and the SEC rules applicable to registered insurance products.

Nice To Haves

• Prior experience providing paralegal support relating to the preparation of Appendix A, broker-dealer matters, and fixed annuities.
• Familiarity with state insurance regulatory filings and the coordination required with federal securities filings.

Responsibilities

• Help prepare, coordinate, and manage SEC filings for variable life insurance and variable annuity products with attorney oversight including: Registration statements on Form N-4 and N-6, Post-effective amendments, supplements, and sticker filings, and Statutory Prospectuses, Summary Prospectuses, Statements of Additional Information, etc.
• Coordinate EDGAR filings, including document formatting, tagging, proofing, and submission.
• Help to maintain and update other required disclosure documents to reflect regulatory changes, product updates, and operational developments.
• Assist in responding to SEC, FINRA, IRS, and/or DOL comments and regulatory inquiries as needed.
• Support new product launches, substitutions, and mergers involving variable products.
• Handle other ad hoc matters as assigned.
• Perform a wide variety of complex legal and/or legislative research and analyze legislation, regulations, laws, statutes and/or administrative rules and apprise department lawyers, and clients.
• Draft highly complex legal and or legislative/regulatory memorandum, documents, and forms to fully respond to various legal/legislative issues and develop systems policies and procedures for the department or the company.
• Create, organize, and maintain various systems and procedures used in the department and contribute and maintain procedural and substantive manuals for the department's clients.
• Perform other job-related duties and special projects as required.

Benefits

• Personal Time Off (PTO) is provided to hourly (non-exempt) employees and provides a set amount of accrued time earned each pay period. Employees can use their PTO for vacation, personal or short-term illness.
• Pension Eligible

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: No Education Listed
• Number of Employees: 5,001-10,000 employees