New York, NY 


If you enjoy working with team members whose defining characteristics are achievement, initiative, professionalism, responsiveness and adaptability, you may be the person we are seeking to join our Paralegal department in New York as a Paralegal with our Finance team. 


Essential Functions

  • Assists in the preparation and filing of SEC and other regulatory documentation including, but not limited to, prospectuses, Form 8-K, proxy materials and Blue Sky related matters
  • Prepares drafts of closing documents in securities offerings and corporation financing transactions, primarily CDOs
  • Perform pre-closing, closing and post-closing duties (maintain closing documents, preparation and organization of documents and preparation and distribution of signature packets, preparation and organization of materials for shipment, preparation of indexes and labels, stock certificates and legends, deliver and pick up documents to and from various clients and law firms). Updates closing checklist as new closing related documents/ agreements and conditions are complete
  • Liaise with attorneys and senior management regarding closing status
  • Prepares and files incorporation and formation documents in various jurisdictions. Prepares varied types of corporate forms and certificates including, but not limited to, amendments, mergers, and dissolutions, for filing in various jurisdictions
  • Prepares initial short form agreements, board consents, stockholder consents and compiles secretary certificates and officer certificates
  • Completes Form SS-4s (Application for Employer Identification Number), obtains Employer Identification Numbers from IRS, and makes filings to effect S Corporation elections, as well as filing of other tax related forms
  • Prepares securities filings prior to fund closings for submission to the applicable regulatory authority (Form IDs, Form Ds and Form 99s)
  • Interacts directly with corporate service providers regarding good standing of fund and parent entities, statutory registered agent services, and service of process needs
  • Corporate Secretarial responsibilities include: draft and obtain documents and correspondence necessary to form new business entities, good standing certificates, foreign qualification applications, etc. with Secretary of State and other state and local government agencies. Draft and obtain documents and correspondence necessary to effect dissolutions and liquidations, mergers and sales of assets of corporations
  • Review new legislation affecting corporate clients and drafts correspondence advising clients of new laws affecting their business interest
  • Assist in major organizational projects, such as public and private financings, sales or purchases of businesses
  • Prepares and files certificates of trade names, governmental applications and reports
  • Prepares and files governmental applications and reports
  • Issues and transfers stock, prepares stock, shareholder registers and other necessary documentation, prepares and maintains analyses and charts of outstanding securities
  • Prepares draft of stock agreements, maintains stock option registers and related charts
  • Analyzes stock records to verify number of shares outstanding and confirms that stock was validly issued and subsequent transfers appropriately documented
  • Participates in Blue Sky related matters
  • Initiates UCC searches and prepares financing statements, amendments and assignments. Preparation and filing of UCC financing statements. Comply with Firm mandated UCC Compliance protocols
  • Assists in major organizational projects, such as public and private financings, sales or purchases of businesses
  • Researches and drafts documents and correspondence necessary to form businesses, profit, non-profit and professional services corporations
  • Obtains information and certified filings with Secretary of State and other state and local government agencies, including Good Standing Certificates, Charter Documents, etc.
  • Perform clerical tasks as needed, g. make copies, create folder labels, prepare packages, write generic cover memos, etc.
  • Preparation and filing of trade name applications, copyright applications and financing statements
  • Prepare and assist with closing of various finance transactions, including the creation of closing files, closing sets on CDs, and drafting of closing documents
  • Research on regulatory agency materials and domestic and foreign market data (g., Bureau of Labor Statistics, or Intercontinental Exchanges reports re: Futures/OTC/Markets/Swap)
  • Draft shareholders’ and directors’ minutes. Draft written consents in lieu of meetings.
  • Preparation and filings of DTC Letter of Representations, CUSIP applications with CUSIP Service Bureau, and UCC documents. Conduct UCC searches through service companies.
  • Corporate research and due diligence using research databases g. Hoover’s, D&B, Lexis and WestLaw
  • Prepare and arrange for transmittal of correspondence, legal documents, etc., via UPS, DHL, USPS, commercial hand delivery, FedEx and other messenger services. Follow-up to assure timely and accurate delivery
  • Maintain client files in an orderly fashion and in compliance with Firm procedures
  • Preparation and drafting of response to auditor’s request for info. Correspondence with Firm review committee to assure appropriate sign-offs and follow-up with requesting auditors to assure timely and accurate delivery



  • Bachelor’s degree in a related field. Paralegal certificate. An equivalent combination of education and/or experience may be considered in lieu of the degree when the experience has been directly related to the functions of the job.

Professional Experience

  • 5 + years of experience

Technical Skills

  • Proficient in Microsoft Office products
  • Proficiency in the use of law office technology; proficiency in the use of Lexis-Nexis, Westlaw, EDGAR On-line

Performance Traits 

  • Strong written and verbal communication skills, able to communicate effectively and in a professional manner with all levels of the Firm and outside vendors
  • Ability to work in a diverse team environment and effectively support the demanding needs of the Firm
  • Ability to work under pressure, meet deadlines with shifting priorities
  • Must be a self-starter with a high level of initiative
  • Strong customer service skills, able to anticipate needs and exercise independent judgment (for exempt roles, when applicable)
  • Strong attention to detail, organizational skills and the ability to handle multiple projects
  • Maintains confidentiality and exercises discretion
  • Exercises solid strategic thinking and problem-solving skills

 Physical Requirements

  • May require occasional lifting of up to 40 lbs.

*The above is a general description of the essential duties associated with this position and does not represent an exhaustive or comprehensive list of all duties.

Salary: Highly competitive above market compensation
Date Active: 8.5.2020
Exempt/Not Exempt: Non-Exempt