Our client, an investment management firm, is seeking a Paralegal that will report to the SVP, General Counsel and Associate Counsels.

Key Responsibilities:

  • Help attorneys prepare documentation
  • Prepare and execute contracts
  • Prepare Mutual Fund Registration statements, supplements to prospectuses, and related Securities Act and XBRL filings
  • Gather, organize and review agendas and materials for Board of Trustees meetings; draft minutes of meetings; liaise with Board of Trustees
  • Review shareholder reports
  • Assist legal and compliance with SEC and FINRA requirements
  • Oversee fund-related electronic filings
  • Prepare and file 13F, 13G and 13H filings
  • Oversee corporate minutes book; draft consents and minutes
  • Prepare and review Trustee and Officer Questionnaires
  • Analyze new and proposed regulations impacting investment advisers and mutual funds
  • Conduct legal research


  • Bachelor’s Degree
  • Paralegal Certificate preferred
  • 3-5 years’ prior experience, preferably working with Mutual Funds
  • Experience with annual report reviews a plus
  • Required proficiency in EDGAR (SEC electronic filing System)

If you are interested in this role, please email Jack Kelly at jack@compliancesearch.com.

Upload your CV/resume or any other relevant file. Max. file size: 50 MB.