Senior Paralegal (1940 Act)

Overview

This role leads the provision of legal administration services for the organization’s mutual fund clients. Responsibilities include preparation of board materials and regulatory filings, management of regulatory calendars, general legal and filing/governance support, and oversight of client-related legal matters.

Responsibilities

Legal Administration

• Prepares client registration statement updates.
• Prepares other client SEC filings and forms.
• Prepares and distributes client board and committee materials, including agendas, exhibits, reports, and resolutions.
• Prepares minutes of client board and committee meetings.
• Attends board and committee meetings by telephone or, if requested by the client, in person, to record notes as needed.
• Maintains contractual agreements and corporate governance documents.
• Manages regulatory calendars and filing processes.
• Assists with the development and oversight of legal administration procedures relating to board meetings, corporate governance, and SEC filings.
• Leads and assists with projects as needed.

Working Relationships

• Mentors associates through instruction, coaching, real-time on-the-job experiences, modeling effective practices, and advising on methods used.
• Serves as a primary legal contact for designated clients.
• Coordinates with clients, fund counsel, internal teams, and other fund service providers regarding fund issues and assists with resolution of client issues.
• Communicates with team members and internal teams regarding follow-up on inquiries, open workflow, and related matters.
• May perform other duties as required and assigned.

Education and Experience

• Undergraduate degree from an accredited college or university.
• Paralegal certificate from an accredited school, college, or university.
• 5+ years of paralegal or legal administration experience in a corporate or law firm environment.
• 5+ years of experience with the Investment Company Act of 1940.
• Equivalent education and experience will be considered.

Knowledge & Tools

• Financial services industry.
• Relevant statutes and rules relating to the core job functions.
• Investment Company Act of 1940.
• Microsoft Office Suite.
• Adobe Acrobat.

Skills and Abilities

• Client service skills with an aptitude to understand clients’ basic legal needs and how they relate to clients’ business needs.
• Exercises good judgment.
• Plans and delegates work of others; motivates and inspires others.
• Assesses performance of self and associates to make improvements or take corrective action.
• Plans and develops systems and procedures to improve operating quality and efficiency of the department in accordance with company policies and procedures.
• Troubleshoots issues using creative and critical thinking skills.
• Multitasking, analytical, and organizational skills.
• Initiative-taking, strategic, and meticulous approach with a strong commitment to quality, efficiency, and effectiveness.
• Demonstrates personal integrity, responsibility, and accountability.
• Effectively uses resources such as time and information in conjunction with associates.
• Participates in problem-solving and decision-making.
• Presents and expresses ideas and information clearly and concisely, in writing and orally.
• Actively listens to others to achieve understanding and supports an open exchange of ideas and information.
• Identifies needs, arranges for, and obtains resources to accomplish individual and department goals.
• Establishes and develops effective working relationships with associates and clientele during both favorable and unfavorable situations.
• Modifies team and individual priorities and deadlines in response to added information, changing conditions, or unexpected obstacles to ensure completion.

Compensation & Benefits

Not specified in the provided job description.

Location

Not specified in the provided job description.

Equal Opportunity Employer Statement

The organization is an equal opportunity employer and does not discriminate on the basis of race, color, religion, national origin, ancestry, gender, sexual orientation, age, disability, veteran or military status, genetic information, citizenship, or any other status entitled to protection under federal, state, or local anti-discrimination laws. No questions on the employment application are intended to secure information to be used for impermissible purposes.