Investment Management Paralegal

Job Description

Serves the legal team in all aspects of investment fund management, including regulatory compliance, fund formation, initial drafting, and ongoing fund operations.

Supports the legal team in general corporate and securities matters.

Prepares and files Form D, BlueSky, Section 16 and other annual / regulatory filings.

Prepares and files regulatory registration forms with the SEC, CFTC and NFA, including RIA and CPO/CTA registration.

Tracks and monitors outstanding regulatory and compliance items.

Affords assistance with fund subscription processes, including drafting, compiling and coordinating the execution of documents, questionnaires, AML/KYC, and other materials.

Researches risk updates and regulations for attorney reference and review.

Reviews and updates registration statements.

Prepares and files entity formation, qualification, maintenance, dissolution, amendment, Uniform Commercial Code (UCC) and other corporate filings.

Assists with special projects and duties, as assigned.

What You Would Do

• Serves the legal team in all aspects of investment fund management, including regulatory compliance, fund formation, initial drafting, and ongoing fund operations.
• Supports the legal team in general corporate and securities matters.
• Prepares and files Form D, BlueSky, Section 16 and other annual / regulatory filings.
• Prepares and files regulatory registration forms with the SEC, CFTC and NFA, including RIA and CPO/CTA registration.
• Tracks and monitors outstanding regulatory and compliance items.
• Affords assistance with fund subscription processes, including drafting, compiling and coordinating the execution of documents, questionnaires, AML/KYC, and other materials.
• Researches risk updates and regulations for attorney reference and review.
• Reviews and updates registration statements.
• Prepares and files entity formation, qualification, maintenance, dissolution, amendment, Uniform Commercial Code (UCC) and other corporate filings.
• Assists with special projects and duties, as assigned.

What Is Expected

• Energetic, organized, detail orientated and disciplined with the willingness to learn and work hard.
• Ability to work well independently and as part of a team, through effective communication strategies.
• Ability to manage workflow and work under tight deadlines and other time constraints, with competing and shifting priorities.
• Ability to bill 1550 hours annually.
• Ability to travel if needed.
• Ability to effectively manage projects.

What We Offer

• Flexible working environment for work-life success.
• Opportunity to participate in firm-sponsored volunteer events.
• Wellness programming with personalized content and activities.
• Professional environment and the opportunity to work with experts at the top of their fields.
• Variety of health plan options, as well as dental, vision and 401(k) plans.
• Generous paid time off.

Pay and Benefits

The anticipated initial hourly rate for someone who is hired into this position is $45.00– $55.00/hour based on a 37.5 hour a week schedule. Actual initial hourly rate may be above or below the above-identified range and will be based on the relevant skills, training, experience, and other job-related factors, including the location where the position is filled, in all cases consistent with applicable law.

This is a non-exempt role paid on an hourly basis. The initial hourly rate listed above is just one component of Faegre Drinker's total compensation and benefits package for professional staff, which includes, but is not limited to, a discretionary bonus; life, health, accident, and disability insurance; and a 401(k) plan.

Application

Apply now if you are ready to join the Faegre Drinker team!