New York, NY, Houston, TX, Dallas, TX or Austin, TX
Assist attorneys with state securities (“Blue Sky”) research and filings, formation, financing, maintenance, merger and acquisition of corporate entities, partnerships and limited liability companies’ partnerships.
Duties and Responsibilities
- Assists with (i) researching relevant state securities statutory provisions; drafting blue sky surveys; drafting state securities registration, exemption, or notification documents and related exhibits for various securities transactions for filing; coordinating such filings with the various state securities administrators via the EFD or by mail; maintaining active correspondence and telephone contact with the state securities examiners with regard to such filings; and preparing state securities sales reports and renewal documents and (ii) assisting in the preparation of documents to register firms and/or individuals as brokers-dealers, issuer-dealers, investment advisers, agents and securities salesmen, when required
• Performs due diligence related to various loans and corporate transactions, including debt and equity financings and mergers and acquisitions.
• Organizes and files formation documents for corporations and limited liability companies partnerships, including drafting and filing documents, reserving names, filing assumed business names, handling IRS application process and working directly with clients.
• Assists with closings of merger and acquisition transactions, including ordering of UCC and lien searches and summarizing results; orders certificates of good standing and certified charter documents as prerequisites to closing, as well as coordinating and compiling closing sets.
• Assists with closings of debt and equity financings, including obtaining and compiling good standing certificates, and various closing deliverables and closing sets, as well as researching and coordinating federal and state securities law filings.
• Prepares and maintains company minute books and other company records.
• Drafts and organizes documents for closing; supervises closing room; assists in closing and post-closing matters, including required state filings, and preparing closing binders
• Handles audit letter requests; drafts audit response letters; coordinates execution and Audit Letter Committee approval.
• Retrieves UCC filings, and files UCC’s at county and state level.
• Files initial applications for, abandoned and withdrawal of assumed names at state and county level.
• Performs advanced on-line research for transactions.
• Achieves billable hourly requirement set by the firm.
• Other duties as assigned.
Education: Bachelor’s degree required; Paralegal Certificate preferred.
Experience: Minimum seven years’ experience preferred.
Special Knowledge: Blue Sky experience required; familiarity with federal and state and county forms regarding corporations and partnerships and filing procedures; familiarity with the Corporations Code; familiarity with securities laws filings (such as federal Form D filings).
Technical Skills: Technical expertise in Microsoft Office, including Access; ability to perform Internet-based searches.
Attributes: Work with limited supervision as well as supervise and lead others; attention to detail; excellent oral and written communication skills; strong organizational skills; ability to multi-task; ability to understand and analyze legal issues.
Other Qualifications: Maintain confidential information.
- Firm will require COVID vaccination for all employees who will have any in-office presence with proof of vaccination being required. Individuals with medical or religious reasons for remaining unvaccinated may request an accommodation.
- Job is performed in a typical office environment, but is subject to time pressures and constraints, and is often dependent on input from others.
- Occasional overtime and travel may be required.
Salary: Highly competitive above market merit based compensation
Date Active: 9.8.2021
Exempt/Not Exempt: Non-Exempt