Securities and Compliance Paralegal

Workiva Inc.•Ames, IA

8d•$111,000 - $178,000•Hybrid

About The Position

We are seeking a highly organized, detail-oriented Securities and Compliance Paralegal to support the Legal Department of Workiva Inc. (the Company). This role will report to the Director of Legal Operations & Compliance and Assistant Secretary (Governance), and will support SEC reporting, Section 16 compliance, corporate governance, stock administration, insider trading compliance, and other public company legal operations. The ideal candidate has public company securities experience, strong judgment, excellent follow-through, and serves as a trusted partner and liaison between outside counsel, finance, investor relations, stock administration, and other cross-functional leaders. A successful candidate will be someone who takes ownership, anticipates deadlines, and creates order from complexity. This role requires discretion, precision, and the ability to manage multiple deadline-driven processes in a fast-paced environment.

Requirements

Undergraduate degree
4+ years of relevant securities, corporate governance, public company, or law firm experience
Strong judgment and discretion when handling confidential, sensitive, and material nonpublic information
Ability to manage multiple priorities, stakeholders, and deadlines in a fast-paced environment
Excellent written and verbal communication skills
Proactive mindset with a focus on improving workflows, templates, and operating procedures
Interest in using technology and AI to improve efficiency, accuracy, and legal service delivery
Proven ability to operate independently with minimal day-to-day instruction, effectively prioritizing high-volume, deadline-driven workflows.
Demonstrated experience identifying process inefficiencies and implementing scalable, technology-driven solutions within a legal department

Nice To Haves

Public company securities experience
Experience supporting SEC filings, Section 16 filings, proxy statements, or public company governance
Proficiency with EDGAR, EDGAR Next, Shareworks, Computershare, Monday.com, or Workiva software
Advanced skills in Microsoft Office, including Word, Excel, PowerPoint, and Copilot

Responsibilities

Draft, review, and coordinate the filing of the Company’s SEC filings, including Forms 10-K, 10-Q, 8-K, DEF 14A, annual report materials, registration statements, and related disclosure documents
Manage the end-to-end SEC filing process, including document compilation, preparation of support files, exhibit coordination, signature packets, internal review workflows, and final filing logistics
Assist with preparation and coordination of annual meeting materials, director and officer questionnaires, proxy-related materials, and related governance and disclosure processes
Own the preparation and filing of Section 16 reports, including Forms 3, 4, and 5, powers of attorney, beneficial ownership tracking, and related filing support
Maintain the Company’s and Section 16 filers’ EDGAR Next accounts and related credentials, permissions, records, and processes
Maintain compliance calendars, checklists, and internal procedures for periodic, annual, and event-driven reporting deadlines
Maintain the Company’s governance policies, committee charters, corporate records, governance trackers, and related materials
Prepare Board and Committee presentation templates and support the preparation, review, finalization, and distribution of Board and Committee materials
Maintain calendars, trackers, and databases for Board and Committee meeting materials, approvals, action items, and related governance processes
Facilitate and manage onboarding processes for directors and officers, including Forms ID, questionnaires, certifications, and onboarding materials
Support the annual Board and Committee self-evaluation process
Prepare responses to internal and external audit requests, ensuring accurate production of documentation, production of meeting minutes, and coordination of supporting documentation
Support subsidiary governance, corporate recordkeeping, and entity management matters, as needed
Administer the Company’s securities trading policies, evaluate preclearance requests, and independently resolve standard employee inquiries, restricted trading lists, blackout communications, and employee questions
Help maintain insider lists, training materials, FAQs, templates, and other resources related to securities compliance and public company obligations
Respond to FINRA, broker, transfer agent, and other stockholder-related requests, as appropriate
Support equity, stockholder, and beneficial ownership-related processes, including internal tracking, recordkeeping, and coordination with relevant stakeholders
Draft, prepare, and coordinate correspondence, certifications, resolutions, consents, notices, and other legal and governance documents
Maintain organized legal files, records, workflows, templates, and process documentation
Identify opportunities to improve efficiency, quality, consistency, and scalability across securities, governance, compliance, and legal operations processes.
Support other Legal Department projects and responsibilities, as assigned