1940 Act Senior Paralegal

Assist attorneys with select legal functions related to establishing and maintaining investment companies, private investment vehicles, mergers and reorganizations, proxies, board governance matters, insurance, exemptive applications and no-action letters.



Assist attorneys with preparation of drafts of SEC filings and proofreading of all SEC filings for accuracy.



Coordinate the printing and distribution of prospectuses and proxy statements.



Assist with coordinating proxy solicitations and tabulation arrangements. Prepare shareholder meeting documents, shareholder meeting binder , vote reporting, and draft minutes.



Prepare and file trust and corporation documents as well as certain other necessary state filings.



Prepare agendas, resolutions, chairman scripts, minutes and debriefing memos for board meetings. Maintain official minute book.



Coordinate the preparation, production and distribution of board meeting materials.



Coordinate and monitor trustee compensation.



Assist attorneys with drafting contracts/agreements and policies/procedures.



Establish and maintain fidelity bond and D&O/E&O insurance coverage.



Conduct legal research and EDGAR research.



Assist attorneys with SEC and state examinations as well as internal audits.
REQUIREMENTS
Paralegal certification from an ABA approved program

Five to Seven years of securities or corporate legal experience. Knowledge of the Investment Company Act of 1940 and the Securities Act of 1933 is preferred.

Research skills, analytical ability and proofreading skills.

Strong writing skills, including persuasive and analytic abilities

Effective interpersonal skills, excellent judgment, strong self-initiative and resourcefulness

Time management skills and organizational skills.