Paralegal - Investment Funds

Alston & Bird•New York City, NY

1d•Onsite

About The Position

Alston & Bird's is seeking an experienced Securities Paralegal to work in our Investment Funds practice group in our New York City office. Qualified candidates will have at least 7-10+ 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.

Requirements

At least 7-10+ years’ experience in transactional areas as a paralegal
Blue-Sky and Form-D experience
Experience working with state examiners and the Securities Exchange Commission (SEC)
Self-starters, highly organized, and team players
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.
Completion of a four-year college degree is required
7 - 10+ Years of experience as a Transactional/Securities paralegal.

Nice To Haves

paralegal certificate optional

Responsibilities

Prepares and files Form IDs with the SEC to obtain EDGAR Next Codes
Prepares and files Form Ds with the SEC and the States
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 NASAA’s Electronic Filing Depository 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 Next 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