Blue Sky Paralegal

Atlanta, GA, Charlotte, NC, Washington, DC or New York, NY

Summary

Premier, global, law firm is seeking an experienced Blue-Sky/Securities Paralegal to work in their Investment Funds practice group in one of their East Coast offices. Qualified candidates will have at least 5-10+ years’ experience in transactional areas as a paralegal to include Blue-Sky and Form-D experience, and experience working with state examiners and the Securities Exchange Commission (SEC). Candidates should be self-starters, highly organized, and team players. Overtime is often needed to meet client deadlines. ​

• Prepares and files Form IDs with the SEC to obtain EDGAR Codes
• Prepares and files Form Ds with the SEC and the States
• Files Form Ds with the states, either electronically through EFD or by paper
• Experience working with state securities regulatory administrators, as well as NASAA, the SEC, and FINRA
• Performs blue sky research re: state exemptions. Monitors/tracks state status of registrations and/or exemptions renewals
• Prepares and files state registration and/or exemption documents
• Familiarity with submission of filings via NASAA’s Electronic Filing Depository and its Statements of Policy for various securities offerings
• Prepare and File Form NF (for registered 1940 Act fund clients)
• Prepare response letters to state securities commissioners
• Familiarity with public companies with listed securities or companies that are subject to the ’34 Act reporting requirements
• File periodic required 1933 and 1934 Act filings with state securities commissions.
• Submit Section 16 Filings (Forms 3, 4, 5) on behalf of fund officers and directors/trustees
• Manage submission of filings through SEC EDGAR system.
• Basic research ability for state securities law research (primarily through CCH portal)
• Experience in basic corporation, LLC, and LP formation
• Provide backup assistance for the paralegals in the Investment Funds group and the Firm
• Proofread and edit legal documents
• Maintain current and accurate daily time record
• Perform special projects as assigned
• Ability to work overtime and irregular hours as dictated by the Firm and client needs

Skills

• Ability to organize and prioritize numerous tasks and complete them under time constraints.
• Interpersonal skills necessary in order to communicate and follow instructions effectively from a diverse group of clients, attorneys and staff and provide information with ordinary courtesy and tact.
• Work typically requires more than 40 hours per week to perform the essential duties of the position; may require irregular hours. 

​Education and Experience

• Completion of a four-year college degree is required, paralegal certificate is optional.
• 5-10+ Years of experience as a Transactional/Securities.

*Firm is an Equal Opportunity Employer does not discriminate on the bases of any status protected under federal, state, or local law. Applicants will be considered regardless of their sex, race, age, religion, color, national origin, ancestry, physical disability, mental disability, medical condition (associated with cancer, a history of cancer, or genetic characteristics), HIV/AIDS status, genetic information, marital status, sexual orientation, gender, gender identity, gender expression, military and veteran status, or other protected category under the law on the basis of race, color, religion, sex, age, sexual orientation, gender identity and/or expression, national origin, veteran status or disability in relation to our recruiting, hiring, and promoting practices. 

**The statements contained in this position description are not necessarily all-inclusive, additional duties and responsibilities may be assigned and requirements may vary from time to time.

***Professional business references and a background check will be required for all final applicants selected for a position.

****Salary is dependent on experience and location $105,000.00-$130,000.00, plus overtime and bonus.