SS&C Technologies - Cape Coral, FL
posted 4 months ago
About the position
The Senior Paralegal position at SS&C is a hybrid role that requires the individual to work on-site four days a month at one of the designated locations, which include Bellevue, WA; Boston, MA; Coral Gables, FL; Denver, CO; Dublin, OH; Kansas City, MO; and Union, NJ. This role is integral to the operations of the firm, as it involves direct interaction with multiple clients on a daily basis. The Senior Paralegal will lead projects and manage them efficiently with limited attorney supervision, providing a unique opportunity to build strong working relationships with both internal and external clients while expanding knowledge of the financial services industry. The position is designed for those who are looking to grow and succeed in a collaborative environment with a talented team. In this role, the Senior Paralegal will be responsible for serving all internal and external client needs, which includes the preparation of registration statements and other regulatory filings required under various acts such as the Investment Company Act, Investment Advisers Act, Securities Act of 1933, and Securities Exchange Act of 1934. The individual will prepare drafts of regulatory documents for various mutual funds, exchange-traded funds, and closed-end funds for filing with the U.S. Securities and Exchange Commission (SEC). This includes working with forms such as N-1A, N-2, N-CSR, N-PX, PRE 14A, DEF 14A, and N-14. The Senior Paralegal will also review EDGAR versions of regulatory filings, coordinate the production of proxy materials for shareholder meetings, and collaborate with attorney team members to plan and prepare for fund board and shareholder meetings. Attendance at client board meetings and taking minutes as needed is also part of the role. The position requires drafting and distributing legal documents, communications, resolutions, board meeting minutes, correspondence, notices, proxies, agendas, and proxy statements. Additionally, the Senior Paralegal will oversee the preparation and maintenance of multiple client board meetings and compliance calendars, monitor regulatory initiatives, and mentor junior paralegal team members on department policies and procedures.
Responsibilities
- Serve all internal and external client needs including preparation of registration statements and/or other regulatory filings required under the Investment Company Act, Investment Advisers Act, Securities Act of 1933 and Securities Exchange Act of 1934.
- Prepare drafts of regulatory documents for various mutual funds, exchange-traded funds and closed-end funds for filing with the U.S. Securities and Exchange Commission (SEC).
- Review EDGAR versions of regulatory filings and file with the SEC.
- Coordinate production of proxy materials for both routine proxies and special shareholder meetings, including obtaining quotes and engaging the proxy tabulator.
- Collaborate with attorney team members to plan and prepare for fund board and shareholder meetings.
- Attend client board meeting and take minutes as needed.
- Draft and distribute legal documents, communications, resolutions, board meeting minutes, correspondence, notices, proxies, agendas, and proxy statements.
- Oversee the preparation and maintenance of multiple client board meetings and compliance calendars.
- Monitor and report on regulatory initiatives promulgated by various regulatory agencies.
- Mentor junior paralegal team members on department policies and procedures, day-to-day tasks and special projects.
- Other jobs as assigned.
Requirements
- Bachelor's degree, paralegal certification or equivalent work experience.
- 3-5 years of experience with mutual fund, corporate governance or regulatory filing.
- Knowledge of Investment Company and Investment Advisers Act of 1940.
- Experience with EDGAR.
- Proficiency with legal terminology relevant to the industry.
- Excellent verbal and written communication skills and strong ability to communicate with a wide and diverse audience (both internal and external).
- Advanced spelling, grammar, and proofreading skills.
- Ability to work directly with clients on a daily basis.
- Willingness to work 4 days per month in one of the offices.
Benefits
- 401k Matching Program
- Professional Development Reimbursement
- Flexible Personal/Vacation Time Off
- Sick Leave
- Paid Holidays
- Medical, Dental, Vision Insurance
- Employee Assistance Program
- Parental Leave
- Discounts on fitness clubs, travel and more!
