Paralegal
$46,800–$62,400 year
HybridMilwaukee, Wisconsin, United States
Job Summary
Prepare regulatory filings under federal securities laws, including registration statements on Forms N-1A and N-2, and proxy statements using the Wdesk document management system. Coordinate with internal colleagues and external clients to incorporate changes into large, complex documents while managing multiple projects and tight deadlines. Draft and distribute communications, resolutions, board meeting minutes, and correspondence among various parties involved in fund management. Develop department processes, train new paralegals on role procedures, and report project billing information. Work directly with supervisors, counsel, compliance officers, and auditors on confidential matters, often requiring occasional evening or weekend work during peak periods.
Required Qualifications
- Paralegal certification from an accredited program, or equivalent degree or experience
- Ability to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies
- Ability to work well independently and as part of a group, often within tight time constraints
- Strong general computer skills required, including excellent typing skills
- High-level understanding of Microsoft applications including Word and Excel
- Ability to adapt to new software and processes
- Ability to establish priorities and work concurrently on a variety of projects
- Energetic self-starter with strong organizational and proofreading skills
- Excellent communication and interpersonal skills (both oral and written)
- Above average drafting/writing skills
- Resourcefulness in problem-solving
- Ability to work directly with internal supervisors and business lines, external fund counsel, compliance officers, external auditors, and investment advisers
- Ability to handle matters that require confidentiality
- Ability to create, monitor and maintain timelines for primary duties
- Ability to accommodate a disability during any portion of the application or hiring process (if applicable)
- Ability to work occasional evening or weekend work during peak periods
- In-office expectation of 3 or more days per week
- Flexibility to work outside the office location for other days
- Ability to comply with FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement
Desired Qualifications
- Past experience as a paralegal
- Experience with mutual funds, ETFs, closed-end funds and SEC registration
- Experience with Wdesk or a similar document creation and filing system
- Experience with Forms N-1A and/or N-2
- Experience with Schedule 14A or Form N-14
- Experience with proxy statements
- Experience with preparation and maintenance of registration statements filed with the U.S. Securities and Exchange Commission (SEC)
- Experience with drafting and filing registration statements with the SEC
- Experience with managing multiple complex client and internal projects
- Experience with coordinating, drafting, and distributing documents, communications, resolutions, board meeting minutes and correspondence
- Experience with project management for deadlines
- Experience with developing and implementing department processes and policies
- Experience with training and mentoring new paralegals on role and department processes, policies and procedures
- Experience with reporting and confirming project billing information
- Experience with working with external fund counsel, compliance officers, external auditors, and investment advisers
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