Senior Paralegal

Profile

Senior Paralegal

The candidate will serve all internal and external client needs including preparation of registration statements and/or other regulatory filings required under the Investment Company Act, Investment Advisers Act, Securities Act of 1933 and Securities and Exchange Act of 1934. 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, PRE 14A, DEF 14A and N-14. Review EDGAR versions of regulatory filings and file the SEC. Coordinate tabulation/production of proxy materials for both routine proxies and special shareholder meetings, including obtaining quotes and engaging the proxy tabulator. Collaborate with attorney team members to plan and prepare for the respective fund board and shareholder meetings. Attend client board meeting and take minutes as needed. Draft and distribute legal documents, communications, resolutions, board meeting minutes, correspondence, notices, proxies, agendas, ballots, and proxy statements. Oversee the preparation and maintenance of multiple client regulatory filing and compliance calendars. Monitor and report on regulatory initiatives promulgated by various regulatory agencies such as the SEC and Financial Industry Regulatory Authority (FINRA). Mentor paralegal team members on department policies and procedures, day-to-day tasks and special projects. All other jobs assigned. Should have a Bachelor's degree, paralegal certification or equivalent work experience. Should have 3-5 years of experience with mutual fund, corporate governance or regulatory filing. Knowledge of Investment Company and Investment Advisers Act of 1940 is strongly preferred. Experience with EDGAR. Proficiency with legal terminology relevant to the industry. Excellent verbal and written communication skills and strong ability to communicate with a wide and diverse audience (both internal and external). Advanced spelling, grammar, and proofreading skills. Ability to work directly with clients on a daily basis. Willingness to work 4 days per month in one of our office.

Additional Information

ID: R260933.

Company info

SS&C Technologies Inc
1290 Broadway Suite 1000
Denver
Colorado
United States 80203
Website : http://www.ssctech.com