Corporate Legal Assistant (Blue Sky/Regulation D Paralegal)

Corporate Legal Assistant (Blue Sky/Regulation D Paralegal)

Department: Corporate Legal Assistant/Asset Management Group

Reports to: Senior Associate

HOURS: 9:30 a.m.-5:30 p.m., Mon.-Fri.

Non-exempt

This position description is intended to reflect general duties and responsibilities and is not to be interpreted as all encompassing. Nothing in this job description restricts the Firm’s right to assign or reassign duties and responsibilities to this job at any time.

JOB SUMMARY

Responsible for Asset Management Group duties, primarily (a) assisting with subscription document review and (b) preparing federal and state Regulation D filings.

JOB RELATIONSHIPS

Administratively reports to Director of Litigation and Corporate Legal Assistants. Works directly with Asset Management Group associates and partners, as well as the clients themselves, to facilitate subscription document review and Regulation D filings.

Primary Responsibilities:

Coordinate the Asset Management Group’s Subscription Document Review Process for Direct and Transfer Investments:

• Track the progress of review for subscription documents (approximately 10,000-12,000 investments per year).
• Direct communication with client(s) on a daily basis, providing support and undergoing tasks for a myriad of subscription document review related issues including fulfillment of reconciliation and document audit and document production requests.
• Research precedent investments of investors who submit new subscription documents; prepare new subscription documents for attorney review.
• Maintain records of investment documents on various online databases and hard copy files.
• Coordinate between clients, Asset Management associates, Tax associates, Benefits associates, and London Asset Management team to assist with review process.
• Coordinate between Asset Management associates, London Asset Management team, and Asset Management clerks to ensure complete and accurate recordkeeping.
• Coordinate between clients, attorneys, paralegals and clerks to optimize work flow and meet funding deadlines.

Prepare Federal and State Regulation D filings:

• Draft, distribute, file, and maintain federal and state Form D filings for more than 200 funds that pertain to over 20 clients.
• Acquire and maintain knowledge of the SEC EDGAR system with regard to obtaining SEC electronic filing codes, editing company information, and handling any issues that arise in the filing process.
• Provide blue sky filing analysis with attention to specific state exemptions and regulations.
• Keep track of the various and different state filing requirements including those that require a Form U-2 Consent to Service of Process and those that require annual renewal filings and termination of sale reports.
• Maintain record of all federal Form D filings as they relate to the SEC’s annual renewal filing requirement.
• Coordinate between clients and fund formation associates to ensure timely filings.
• Provide in depth analysis and instruction to clients regarding various federal and state filing requirements.

JOB SPECIFICATIONS

Education/Experience: College degree with at least 5 years work experience and prior organizational experience/experience with computer software a plus.

Skills and Abilities: Must be able to effectively work and communicate with all levels of partners, attorneys, and staff. Must be able to keep information confidential. Requires effective written and verbal communication and strong organizational and interpersonal skills. Ability to handle and prioritize multiple assignments while working under pressure to meet important deadlines. Must be detail oriented; possess strong organizational skills, and a high degree of accuracy.

Attendance: All positions require punctuality and regular attendance.

Technological Skills: Proficiency with various software programs including Outlook, Word, Excel, and use of the Internet. Will need to use computer software extensively in their work.