Securities and Compliance Paralegal

Overview

A legal department is seeking a highly organized and detail-oriented Securities and Compliance Paralegal to support various public company legal operations. This role reports to the Director of Legal Operations & Compliance and Assistant Secretary (Governance) and involves supporting SEC reporting, Section 16 compliance, corporate governance, stock administration, insider trading compliance, and other related functions.

Responsibilities

SEC Filing and Disclosure Support

• Assist in preparation, drafting, review, and filing of SEC filings 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, including document compilation, support file preparation, exhibit coordination, signature packets, internal review workflows, and final filing logistics
• Coordinate and prepare 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 filings
• Maintain EDGAR Next accounts and credentials 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 meeting materials
• Maintain calendars, trackers, and databases for Board and Committee meetings, approvals, action items, and governance processes
• Support onboarding for directors and officers, including Forms ID, questionnaires, certifications, and onboarding materials
• Assist with the annual Board and Committee self-evaluation process
• Support internal and external audit requests, including preparation of audit response materials, meeting minutes, and coordination of supporting documentation
• Assist with subsidiary governance, corporate recordkeeping, and entity management as needed

Compliance, Insider Trading, and Stock Administration Support

• Administer securities trading policies, including trading preclearance requests, restricted trading lists, blackout communications, and 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 tracking, recordkeeping, and coordination

Legal Operations and Administrative Support

• 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
• Support other legal department projects and responsibilities as assigned

Requirements

Minimum Qualifications

• Undergraduate degree
• 2+ 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

Travel and Working Conditions

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

Compensation and Benefits

• Salary range in the US: $83,000 - $134,000
• 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.