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About the Role

Alston & Bird's Investment Funds practice group is seeking an experienced Securities Paralegal for its New York City office. The role requires a self-starter who is highly organized and a team player, with a willingness to work overtime as needed to meet client deadlines.

Responsibilities

• Prepares and files Form IDs with the SEC to obtain EDGAR Next Codes
• Prepares and files Form Ds with the SEC and the States
• Performs blue sky research regarding state exemptions
• Monitors and tracks state status of registrations and/or exemptions renewals
• Prepares and files state registration and/or exemption documents
• Manages submission of filings through SEC EDGAR Next system
• Prepares response letters to state securities commissioners
• Files periodic required 1933 and 1934 Act filings with state securities commissions
• Submits Section 16 Filings (Forms 3, 4, 5) on behalf of fund officers and directors/trustees
• Manages submission of filings through SEC EDGAR Next system
• Provides backup assistance for paralegals in the Investment Funds group and the Firm
• Proofreads and edits legal documents
• Maintains current and accurate daily time records
• Performs special projects as assigned

Requirements

• At least 7-10+ years of experience in transactional areas as a paralegal
• Experience with Blue-Sky and Form-D filings
• Experience working with state examiners and the Securities Exchange Commission (SEC)
• Experience working with state securities regulatory administrators, NASAA, the SEC, and FINRA
• Familiarity with submission of filings via NASAA’s Electronic Filing Depository and its Statements of Policy for various securities offerings
• Familiarity with public companies with listed securities or companies subject to the '34 Act reporting requirements
• Basic research ability for state securities law research (primarily through CCH portal)
• Experience in basic corporation, LLC, and LP formation
• Ability to organize and prioritize numerous tasks and complete them under time constraints
• Interpersonal skills necessary to communicate and follow instructions effectively from a diverse group of clients, attorneys and staff and provide information with ordinary courtesy and tact
• Professional business references and a background screening will be required for all final applicants selected for a position

Skills

• Blue-Sky filings
• Form-D filings
• State securities law research
• SEC EDGAR Next system
• NASAA’s Electronic Filing Depository
• Form NF preparation
• Section 16 Filings (Forms 3, 4, 5)
• Corporation, LLC, and LP formation
• Legal document proofreading and editing
• Time record maintenance
• Interpersonal communication
• Organization
• Prioritization

Location

• New York City

Work Type

• Full-time
• Overtime as needed

Experience Level

• 7-10+ years of experience as a Transactional/Securities paralegal

Education Level

• Completion of a four-year college degree
• Paralegal certificate optional

Salary/Compensations

• $115,000 to $155,000

About the Company

• Alston & Bird LLP is a leading international law firm dedicated to excellence through impactful communication, collaboration, and community involvement.
• Our company culture has earned us a spot as one of the "100 Best Companies to Work For" for 27 consecutive years.
• Our foundation is made of trust, reliability, and compassion.
• Our HR Mission Statement is: Hire For Attitude, Development for Tomorrow, Lead For A Lifetime!

Equal Opportunity

• Alston & Bird LLP is an Equal Opportunity Employer that does not discriminate on the basis of any status protected under federal, state, or local law.
• Applicants will be considered regardless of their sex, race, age, religion, color, national origin, ancestry, physical disability, mental disability, medical condition (associated with cancer, a history of cancer, or genetic characteristics), HIV/AIDS status, genetic information, marital status, sexual orientation, gender, gender identity, gender expression, military and veteran status, or other protected category under the law on the basis of race, color, religion, sex, age, sexual orientation, gender identity and/or expression, national origin, veteran status or disability in relation to our recruiting, hiring, and promoting practices.