Impact Investing Paralegal

Overview

The organization is seeking an Impact Investing Paralegal to coordinate and support state and federal securities filings for clients across multiple jurisdictions. This role partners closely with attorneys, clients, and regulatory agencies to prepare and submit filings, manage agent registrations and EDGAR submissions, maintain compliance records, monitor filing requirements, and support client service initiatives while ensuring accuracy, organization, and responsiveness in a fast-paced legal environment.

Responsibilities

• Prepare documents for upcoming state filings (e.g., State Specific Forms, Status of Contacts, State Fee List, etc.).
• Review and revise documents for filing, including Prospectus and Offering Circular and State Specific Forms.
• Prepare materials for annual filings, including cross-reference sheets and additional required documents not specific to a given state (e.g., sales reports).
• Review and revise executed documents.
• Facilitate Check Requests and FedEx labels for annual filings.
• Draft filing letters for annual filings.
• Draft filing/email letters for various filings (post/pre-effective amendments, advertising, supplements, etc.) and submit in applicable states via email, web upload, and FedEx.
• Assist with responses to state comment letters.
• Prepare and file multi-state registration and exemption filings in relevant jurisdictions via EFD, FedEx, Web Upload, and Email.
• Communicate with state regulators to identify any issues with filings or to request renewal updates.
• Support quarterly reports for a few states, including:
  • Drafting Colorado and California forms.
  • Sending materials to attorneys for review; once approved, submitting to each state and providing reminders of filing requirements.
  • Reviewing, recording, and filing submitted information once received.
  • Maintaining a chart to track which issuers have filed and which have not.
• Maintain filing method and contact lists by state and issuer, including:
  • How to file (EFD, Email, FedEx, or Web Upload).
  • Filing contacts, updated addresses, emails, and phone numbers for regular filings and agent registration filings.
• Maintain document lists by state and issuer, including charts indicating how to file (EFD, Email, FedEx, or Web Upload).
• Maintain a list of states requiring advertising for CEF and CDFI issuers.

Agent Registrations

• Maintain a yearly list of agents registered for states and their due dates.
• Prepare Form U-4s and U-5s for agents to be signed and updated on a yearly basis.
• Draft filing letters for state agent registration/renewal filings.
• Draft renewal forms and/or agent registration forms for states that require them.
• Maintain a checklist of Agent Registration/BD Reports for each issuer.
• When issuers add, retire, or replace agents, coordinate the appropriate forms and state submissions to either terminate or register an agent (for issuers where agent registrations are handled).

EDGAR / SEC Form D

• Obtain and maintain EDGAR access codes, filing credentials, and account information for clients for filing SEC Form D.
• Prepare, format, proofread, and submit Form D filings through the EDGAR system.
• Maintain accurate filing records, electronic files, and supporting documentation.
• Monitor changes to SEC filing requirements, EDGAR procedures, and regulatory guidance.
• Provide technical support to attorneys and staff regarding EDGAR filing processes and requirements.

Additional responsibilities may arise from time to time; the list above is not intended to be all inclusive.

Physical Demands

• Ability to be both mobile and stationary throughout the workday.
• Ability to transport 25 pounds.
• Ability to operate a computer and other business equipment found in the office.

What Makes You Successful

• Strong attention to detail and organizational skills.
• Ability to manage multiple deadlines and prioritize competing responsibilities effectively.
• Strong written and verbal communication skills.
• Professionalism, sound judgment, and ability to maintain confidentiality.
• Knowledge of corporate legal processes, business entity structures, and corporate maintenance requirements.
• Knowledge of regulatory filing processes and compliance-related documentation.

Requirements

• Bachelor’s degree or paralegal certificate preferred.
• Prior experience in a law firm, corporate legal department, or regulatory compliance environment preferred.
• Experience supporting business, corporate securities, or financial services matters preferred.
• Experienced with Microsoft Office; advanced Excel user.

Compensation & Benefits

• Comprehensive medical, dental, and vision insurance plans.
• Firm-provided life insurance and disability coverage.
• 401k with employer contribution or match depending on plan design.
• Generous PTO and leave policies.
• Firm holidays.
• Remote work flexibility.
• Wellness program.
• Employee assistance program.
• Professional development opportunities.

Location

Michigan (offices in Bloomfield Hills, Detroit, Grand Rapids, Holland, Kalamazoo, Lansing, Macomb, Midland, and Muskegon).