Securities Compliance Paralegal recruitment
Primary responsibilities include supporting the compliance function in monitoring a global equity portfolio for compliance with applicable U.S. and foreign rules and regulations, assisting with the preparation of SEC forms and filings, and undertaking special projects as assigned. This is a great opportunity for an experienced securities industry paralegal with excellent research skills to make an immediate impact with the chance for continuous long term growth and learning.
Responsibilities:
• Maintain corporate records and license renewals.
• Maintain GEMS entity database and prepare lists of owned entities for HSR filings, DO questionnaires, etc.
• Prepare drafts of SEC filings and global equity substantial shareholder reports (e.g. Form 4, 13G/D, 13H, TR-1 (UK), SEDI, etc.).
• Manage the legal and compliance calendar.
• Assist in maintaining and updating compliance records and systems.
• Research portfolio companies.
• Daily review of news releases and alerts for relevant information.
• Assist with new account documentation, Know Your Customer packages, compliance certifications, etc.
• Locate and coordinate documents in response to inquiries from other departments.
• Other duties and special projects as assigned.
Requirements and Qualifications:
• Bachelors Degree and paralegal certification or equivalent work experience.
• Minimum 7 years relevant work experience with strong understanding of global equity markets is essential.
• Must have experience with and strong understanding of SEC filings (i.e., proxy statements, prospectuses, corporate reports on Form 10-K, 10-Q and 8-K, etc.) and SEC filing process, including the use of Edgar Online for research.
• Securities industry experience is required, and law firm experience highly preferred.
• Knowledge of corporate organizational structures, governance and documents, ability to locate and research relevant state statutes.
• Working knowledge of online research and fling tools (e.g. CCH Federal Securities Law Report, BloombergLaw, WestlawAllnews Plus, CTAdvantage).
• Proficient in MS Office suite, including Word, Excel, and Outlook.
• Excellent interpersonal, verbal and written communication skills.
• Strong organizational skills to facilitate a proactive rather than reactive approach.
• Work well under pressure, while maintaining meticulous attention to detail.
• Ability to work collaboratively in a team environment with internal and external contacts at all levels.
• Self-starter who is proactive in follow-through and independently completing assigned tasks
Please forward resumes to legalresumes1@hotmail.com