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THE FIRM
As a leading international law firm, we are dedicated to excellence through impactful communication, collaboration, and community involvement. Our company culture has earned us one of the "100 Best Companies to Work For" for 27 consecutive years. This honor, along with many others, highlights our commitment to innovation and professional development. At Alston & Bird LLP, our foundation is made of trust, reliability, and compassion.
JOB DESCRIPTION
Alston & Bird's is seeking an experienced Securities Paralegal to work in our Investment Funds practice group in our New York City office. Qualified candidates will have at least 7-10+ years’ experience in transactional areas as a paralegal to include Blue-Sky and Form-D experience, and experience working with state examiners and the Securities Exchange Commission (SEC). Candidates should be self-starters, highly organized, and team players. Overtime is often needed to meet client deadlines.
Prepares and files Form IDs with the SEC to obtain EDGAR Next Codes
Prepares and files Form Ds with the SEC and the States
Experience working with state securities regulatory administrators, as well as NASAA, the SEC, and FINRA
Performs blue sky research re: state exemptions. Monitors/tracks state status of registrations and/or exemptions renewals
Prepares and files state registration and/or exemption documents
Familiarity with submission of filings via NASAA’s Electronic Filing Depository and its Statements of Policy for various securities offerings
Prepare and File Form NF (for registered 1940 Act fund clients)
Prepare response letters to state securities commissioners
Familiarity with public companies with listed securities or companies that are subject to the ’34 Act reporting requirements
File periodic required 1933 and 1934 Act filings with state securities commissions.
Submit Section 16 Filings (Forms 3, 4, 5) on behalf of fund officers and directors/trustees
Manage submission of filings through SEC EDGAR Next system.
Basic research ability for state securities law research (primarily through CCH portal)
Experience in basic corporation, LLC, and LP formation
Provide backup assistance for the paralegals in the Investment Funds group and the Firm
Proofread and edit legal documents
Maintain current and accurate daily time record
Perform special projects as assigned
Ability to work overtime and irregular hours as dictated by the Firm and client needs
SKILLS NEEDED TO BE SUCCESSFUL
Ability to organize and prioritize numerous tasks and complete them under time constraints.
Interpersonal skills necessary in order to communicate and follow instructions effectively from a diverse group of clients, attorneys and staff and provide information with ordinary courtesy and tact.
Work typically requires more than 40 hours per week to perform the essential duties of the position; may require irregular hours.
EDUCATION & EXPERIENCE
Completion of a four-year college degree is required, paralegal certificate optional.
7 - 10+ Years of experience as a Transactional/Securities paralegal.
In accordance with the New York City Human Rights Law, the hourly salary range in New York City for this position is $115,000 to $155,000, depending on qualifications and experience. This range is specific to New York City and may not be applicable to other locations. The position is based on a 35-hour work week subject to overtime.
EQUAL OPPORTUNITY EMPLOYER
Alston & Bird LLP is an Equal Opportunity Employer does not discriminate on the bases 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.
The statements contained in this position description are not necessarily all-inclusive, additional duties and responsibilities may be assigned, and requirements may vary from time to time.
Professional business references and a background screening will be required for all final applicants selected for a position.
If you need assistance or an accommodation due to a disability you may contact donavan.mclean@alston.com.
Alston & Bird is not currently accepting resumes from agencies for this position. If you are a recruiter, search firm, or employment agency, you will not be compensated in any way for your referral of a candidate even if Alston & Bird hires the candidate.