Securities and Compliance Paralegal

Overview

A legal department is seeking a highly organized and detail-oriented Securities and Compliance Paralegal to support SEC reporting, Section 16 compliance, corporate governance, stock administration, insider trading compliance, and other public company legal operations. This role reports to the Director of Legal Operations & Compliance and Assistant Secretary (Governance). The ideal candidate will have public company securities experience, strong judgment, excellent follow-through, and the ability to serve as a trusted partner and liaison among outside counsel, finance, investor relations, stock administration, and other cross-functional teams. The position requires discretion, precision, and the ability to manage multiple deadline-driven processes in a fast-paced environment.

Responsibilities

SEC Filing and Disclosure Support

• Draft, review, and coordinate the filing of SEC documents including Forms 10-K, 10-Q, 8-K, DEF 14A, annual report materials, registration statements, and related disclosures
• Manage the end-to-end SEC filing process: document compilation, support file preparation, 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 governance/disclosure processes
• Prepare and file Section 16 reports (Forms 3, 4, and 5), powers of attorney, beneficial ownership tracking, and related filing support
• Maintain EDGAR Next accounts and related credentials, permissions, records, and processes for the company and Section 16 filers
• Maintain compliance calendars, checklists, and internal procedures for periodic, annual, and event-driven reporting deadlines

Corporate Governance Support

• Maintain governance policies, committee charters, corporate records, governance trackers, and related materials
• Prepare Board and Committee presentation templates and support preparation, review, finalization, and distribution of Board and Committee materials
• Maintain calendars, trackers, and databases for Board and Committee meetings, approvals, action items, and governance processes
• Facilitate and manage onboarding 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, including documentation production and meeting minutes
• Support subsidiary governance, corporate recordkeeping, and entity management as needed

Compliance, Insider Trading, and Stock Administration Support

• Administer securities trading policies, evaluate preclearance requests, and resolve standard employee inquiries
• Maintain insider lists, training materials, FAQs, templates, and other securities compliance resources
• Respond to FINRA, broker, transfer agent, and stockholder-related requests as appropriate
• Support equity, stockholder, and beneficial ownership processes including tracking, recordkeeping, and coordination

Legal Operations and Administrative Support

• Draft, prepare, and coordinate correspondence, certifications, resolutions, consents, notices, and other legal/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
• Support other Legal Department projects and responsibilities as assigned

Requirements

Minimum Qualifications

• Undergraduate degree
• 4+ years of relevant securities, corporate governance, public company, or law firm experience

Preferred Qualifications

• Experience supporting SEC filings, Section 16 filings, proxy statements, or public company governance
• Proficiency with EDGAR, EDGAR Next, Shareworks, Computershare, Monday.com, or similar software
• Advanced skills in Microsoft Office (Word, Excel, PowerPoint) and Copilot
• Strong judgment and discretion 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 focused on improving workflows, templates, and operating procedures
• Interest in leveraging technology and AI to improve efficiency, accuracy, and legal service delivery
• Proven ability to operate independently with minimal supervision, prioritizing high-volume, deadline-driven workflows
• Experience identifying process inefficiencies and implementing scalable, technology-driven solutions within a legal department

Travel and Working Conditions

• Minimal travel required for team meetings and professional development events
• Standard office or remote working conditions depending on location

Compensation and Benefits

• Salary range in the US: $111,000 - $178,000
• Discretionary annual bonus
• Restricted Stock Units granted at time of hire
• 401(k) match and comprehensive employee benefits package

The salary range represents the low and high end for this role in the US and may vary by location. Actual salary offers consider skills, qualifications, experience, and other relevant factors.

Location

Remote or office-based work options available depending on location alignment within the country of employment.