Paralegal (Associate)

Brookfield•New York, NY

13d•Onsite

About The Position

Brookfield Oaktree Wealth Solutions (BOWS) is seeking a Paralegal (Associate) to join its in-house Legal team supporting the corporate and funds distribution group in its New York office. This role will support to attorneys on legal, regulatory and operational matters relating to the global distribution of products sponsored by Brookfield Asset Management (Brookfield), Oaktree Capital Management (Oaktree) and Brookfield Public Securities Group (PSG) and distributed by BOWS. The paralegal will be responsible for supporting all facets of BOWS’ Legal team, including developing new wealth management products for distribution through private wealth intermediaries, onboarding of new private wealth intermediary distribution relationships, ongoing support of new product sales through our Sales, Investor Relations and Platform Operations teams and managing all general corporate matters related to BOWS as a globally-operating, regulated legal entity. The candidate will collaborate with other Legal & Regulatory personnel at BOWS as well as Legal & Regulatory teams at both Brookfield and Oaktree, as needed, and engage with external counsel to ensure alignment of legal and regulatory approach(es) across Brookfield and Oaktree.

Requirements

Bachelor’s Degree from an accredited institution; a paralegal certification or other relevant certification is preferred.
2-5 years’ experience at a private law firm, asset manager, or broker-dealer.
Familiarity with U.S. securities laws (Securities Act, Investment Advisers Act, Investment Company Act) and distribution of investment products by private wealth management intermediaries preferred.
Strong client orientation with excellent interpersonal and communication skills.
Proficiency in Microsoft Office and experience with document management and compliance tracking systems.
Desire to work in a team‐based entrepreneurial environment with an ability to partner effectively with business teams, collaborate and build relationships with individuals at all levels of the organization.
Strong analytical, problem-solving and project management skills combined with attention to detail and thoroughness.
Excellent written and verbal communication skills with the ability to draft clear, concise and professional correspondence.
Resourceful, commercial, proactive and the ability to identify and escalate issues as they arise.
Excellent organizational skills with the ability to manage multiple priorities, meet competing deadlines and work in a dynamic, fast-paced, deadline-driven, global environment.

Nice To Haves

Familiarity with the FINRA portal, EDGAR and NASAA EFD system a plus.

Responsibilities

Support attorneys in drafting, reviewing and maintaining investment fund distribution agreements, placement agreements and selling agreements in relation to Brookfield, Oaktree and PSG private fund and evergreen products.
Manage execution, filing and recordkeeping of distribution and other related agreements and track internal obligations within such agreements.
Maintain databases and trackers for distribution agreements, regulatory filings and jurisdictional requirements and oversee BOWS’ Legal & Regulatory document management and retention system.
Maintain and update internal templates, checklists and precedents to streamline distribution related processes.
Engage with personnel from technology and service platform partners that BOWS partners with to develop feeder fund and other related fund structures.
Assist with the development, maintenance and review of subscriptions agreements, transfer forms, account maintenance and other required forms for various evergreen products distributed by BOWS.
Engage with Brookfield’s and Oaktree’s internal and external legal teams and facilitate coordination among internal teams (i.e. compliance, product, marketing, sales, operations) throughout fund launches, negotiation of agreements and ongoing distribution activities.
Review and negotiate general corporate and vendor-related agreements and work with assigned attorney to finalize and execute
Assist with review of subscription and private placement agreements to onboard institutional clients directly into Brookfield and Oaktree master funds, as well as facilitating employee investments directly into Brookfield and Oaktree products.
Review and coordinate responses to initial and ongoing due diligence requests from wealth management intermediaries.
Conduct basic legal research on global securities distribution rules and provide summaries to attorneys.
Coordinate and maintain corporate governance documents, including authorized signatory lists, operating agreement(s), Form W-9s, organizational charts, and good standing certificates.
Assist in the filing of regulatory submissions including FINRA submissions, DTCC, NASAA and state notice filings.
Provide administrative support for BOWS’ global intellectual property rights including maintaining records of and coordinating with counsel on trademark registrations, renewals and filing deadlines in jurisdictions globally and ensure proper use of trademarks in fund documents.
Handle notarization and apostille of documents.
Provide other day-to-day operational and administrative legal support including scheduling, formatting documents and preparing meeting agendas and materials.