Responsible for a wide range of work on matters servicing the business needs of corporate clients as well as investment management and private fund clients. Supports the corporate and investment management team as needed with all aspects of transactions including drafting board and shareholder consents and other closing documents. With respect to investment management clients, assist with a variety of securities and regulatory filings (including drafting and filing of Form D, Form ADV and NFA exemption filings) and fund setup and launch (including entity formations, state qualifications and tax filings, drafting of initial organizational documents, subscription agreements and other agreements and resolutions and consents). This individual has extensive direct client contacts and relationships.
Prepare and file documents for organizing business entities and related tax filings and state registrations.
Draft initial governance documents, including limited partnership agreements, operating agreements and resolutions.
Draft and file documents relating to compliance with securities regulations (Form D, Blue Sky filings, including Form 99 and E, etc.).
Liaise with government officials, including Secretaries of State, the SEC, the IRS, the NFA and the NY Attorney General and a variety of third party service providers.
Draft Subscription Agreements.
Draft and file Form ADV (Part 1) and CPO/CTA exemption filings for national and international investment advisor clients and maintain database of client filing deadlines to ensure regulatory compliance with same.
Conduct statutory research and prepare legal memoranda.
Keep current on all laws and regulations to ensure client compliance. Qualifications/Requirements:
Undergraduate Degree and paralegal certificate from ABA accredited program or equivalent experience and knowledge.
5 or more years successful experience as a paralegal in a corporate law practice in a law firm or corporation.
Computer skills: word processing, Excel, electronic document filing, and practice-specific software, ability to work with virtual, rather than paper, documents.
At least two years' experience with regulatory filing platforms, including EDGAR and IARD, EFD and BASIC (NFA) preferred.
Proven ability to manage and coordinate workflow for complex matters involving multiple parties and/or documents in multiple geographic locations.
The above job description is intended to describe the general content of and requirements for the performance of this job. It is not to be construed as an exhaustive statement of essential functions, responsibilities, or requirements.