Senior Corporate and SEC Paralegal

Cantor Fitzgerald • New York, NY

1d • $115,000 - $130,000 • Onsite

About The Position

Cantor Fitzgerald L.P., with over 14,000 employees, has been a leading global financial services firm at the forefront of financial and technological innovation since 1945. Cantor Fitzgerald & Co. is a preeminent investment bank serving more than 5,000 institutional clients around the world, recognized for its strengths in fixed income and equity capital markets, investment banking, SPAC underwriting, PIPE placements, commercial real estate, and for its global distribution platform. Capitalizing on the firm’s financial acumen and technology prowess, Cantor’s portfolio of businesses also includes Prime Brokerage, Asset Management, and other businesses and ventures. For 79 years, Cantor has consistently fueled the growth of original ideas, pioneered new markets, and provided superior service to clients. Cantor operates trading desks in every major financial center globally, with offices in over 30 locations around the world. As one of the few remaining private partnerships on Wall Street, Cantor has the distinct ability to focus on long-term value creation and solid relationship building. Our structure allows us to respond quickly to client needs, develop solutions that address complex challenges, avoid the limitations of bureaucracy, and attract talented individuals who are driven to succeed. A position has become available for an experienced Senior Corporate and SEC Paralegal.The candidate will be responsible for working closely with legal and accounting staff to prepare, manage and file periodic reports with the SEC. The candidate will be expected to regularly and independently communicate and coordinate with the company’s senior executive officers and outside directors and will be responsible for coordinating and scheduling board and committee meetings, the company’s annual shareholder meeting, and other internal and external events. This candidate will also be responsible for organizing and maintaining corporate books and records and board payments and may occasionally assist with stock, RSU and other equity issuances and other general corporate paralegal responsibilities. Exceptional communication skills, organizational skills and follow-through are needed for this position, as well as a strong sense of urgency and attention to detail. Requires a willingness to take on special projects and work confidently with various departments throughout our organization. Specifically, the position will include:

Requirements

• Previous experience with SEC filings is required.
• Previous in-house and/or corporate experience interacting with the board of directors and/or senior management is required.
• Financial industry experience is preferred.
• Strong communication skills and excellent writing and grammar skills are required.
• SEC filings are deadline-driven, and some after-hours work is required during busy seasons (Overtime-eligible).
• Computer proficiency (Microsoft Word, Excel and PowerPoint experience necessary; Litera/Workshare blacklining software and board portal software Diligent to assemble and maintain board materials is a plus).
• Paralegal Certification and/or bachelor’s degree required

Nice To Haves

• Workiva or other SEC research experience is a plus.
• Computer proficiency (Microsoft Word, Excel and PowerPoint experience necessary; Litera/Workshare blacklining software and board portal software Diligent to assemble and maintain board materials is a plus).

Responsibilities

• Preparation of and assistance with public filings (including forms 10-K; 10-Q; 8-K; proxy; Forms 3, 4, 5, 13D/G)
• Communicating with senior management and outside directors both verbally and in writing on a variety of matters
• Planning, preparing, scheduling, organizing, and assisting in the administration of Board of Directors and committee meetings and the company’s annual shareholder meeting, including preparation and distribution of proxy materials and related documents and filings; director and officer questionnaires, related party transactions, proxy cards, script, voting, directing activities of transfer agent and other internal and external events.
• Management of all aspects of the preparation and distribution of materials for Board of Directors and committee meetings, including preparing and drafting agendas, minutes, routine resolutions, written consents and board materials and maintaining public company minute books and board records, director and officer incentive equity information, maintaining director payment records and related administration and record keeping
• Management of code of ethics and other ESG processes and similar tasks including drafting and updating the company’s policies and procedures
• Coordinating information and responses from various departments within the company
• Position may involve occasional assistance with matters relating to share issuances including drafting of letters and Rule 144 and other opinions to stock transfer agent and communicating with various state and local agencies.
• Position may also periodically include some general corporate paralegal responsibilities including review of non-disclosure agreements, corporate agreements and transactions, assisting with forming new legal entities and drafting minutes and maintaining minute books and state and local filings for various entities; maintaining other corporate resolutions and records including work relating to corporate officers, organizational charts, corporate profiles; maintaining data rooms, and other administrative matters.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 5,001-10,000 employees