Investment Company Paralegals have direct interaction with multiple clients on a daily basis. Investment Company Act Paralegals serve all client needs including preparation of registration statements and/or other regulatory filings required under the Investment Company Act, Investment Advisors Act, Securities Act of 1933 and Securities and Exchange Act of 1934. They prepare drafts of regulatory documents for various mutual funds, exchange traded funds and closed-end funds for filing with the U.S. Securities and Exchange Commission (SEC), including Forms N-1A, N-2, N-CSR, N-PX, XBRL, N-Q and N-14. They review and sign off on EDGAR versions of regulatory filings prior to them being sent to the SEC. Investment Company Act Paralegals prepare, review, coordinate, and negotiate third party intermediary agreements on behalf of clients with broker-dealer firms. They work with attorneys to plan and prepare for the respective fund board and shareholder meetings. They draft and distribute legal documents, communications, resolutions, board meeting minutes, correspondence, notices, proxies, affidavits of mailing, agendas, ballots, and proxy statements. Investment
Company Act Paralegals assemble and review documents in response to subpoenas and regulatory reviews. They oversee the preparation and maintenance of multiple client regulatory filing and compliance calendars. They conduct legal research and compile data for attorneys, clients, and corporate personnel from various sources. Investment Company Act Paralegals monitor and report on regulatory initiatives promulgated by various regulatory agencies such as the U.S. Securities and Exchange Commission and Financial Industry Regulatory Authority ('FINRA'). EEO Statement
Equal opportunity employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability status, protected veteran status, or any other characteristic protected by law.