Paralegal-Capital Markets/Structured Notes

New York, NY

Summary

If you enjoy working with team members whose defining characteristics are achievement, initiative, professionalism, responsiveness and adaptability, you may be the person to join the Paralegal department in New York as a Paralegal for the Capital Markets/Structured Notes practice area.

Responsibilities

The paralegal will work closely with attorneys, drafting offering documents for structured notes offerings. After being trained, the paralegal will be expected to work independently with clients, with minimal supervision. The paralegal will be expected to keep track of the timing of any offerings worked on so that client deadlines and SEC filing deadlines will be met. An interest in finance is ideal but not required. 

Essential Functions

Drafting high volumes of structured note pricing supplements daily, to be approved by clients and subsequently filed with the SEC. The paralegal will also assist attorneys at times with the closing of securities offerings by companies in various industries, including the financial, pharmaceutical and technology sectors.  

Securities

• Assists in the preparation and filing of SEC documentation including, but not limited to, pricing supplements, term sheets and prospectus supplements.
• Extensive interaction with Wall Street financial institutions.
• Prepares drafts of structured note offering documents.
• Liaise with attorneys regarding status of offerings and documentation. 

General Corporate/General Finance

• Assist in major organizational projects, such as public and private offerings.
• Assist with necessary SEC filings.
• Prepare and file DTC Letters of Representation.
• Prepare and file CUSIP applications with the CUSIP Service Bureau.
• Obtain information and certified filings with Secretaries of State and other state and federal government agencies, including Good Standing Certificates and Charter Documents.
• Prepare and assist with closing of transactions, including the creation of closing files and closing sets of CDs.
• Maintain client files in an orderly fashion and in compliance with Firm procedures.
• Assumes other responsibilities as assigned.

Qualifications

Specific Technical Skills

• Strong technology skills, use of, MS Word, Excel and Outlook. Paralegal will be trained in SEC filings, coordinating with financial printers and using a Bloomberg Terminal. 

Performance Traits

• Excellent organizational skills and attention to detail.
• Ability to proofread documents for accuracy and consistency.
• Ability to work independently and to meet strict deadlines.
• Excellent telephone skills. 

Education/Training/Certifications

• BA/BS degree required
• Experience in the financial markets preferred 

Minimum Years of Experience Required

• 2+ years of experience