The speed of technology. The influx of data. Shifting regulations. Increased customer expectations.
That's where you'll find SS&C, helping clients find opportunity in ever-changing and complex customer, business, and regulatory requirements. Mastering complexity is a constantly changing and evolving challenge - one that only a few people can embrace and thrive upon.
If you see your opportunity in complexity , then we are the right fit for you.
This is a hybrid position with 4 days a month on site in one of our locations. Sr. Investment Company Act Paralegals have direct interaction with multiple clients on a daily basis. They work directly with clients and lead projects and are expected to manage these projects efficiently and with limited attorney supervision. The role provides a great opportunity to build working relationships with internal and external clients and expand your knowledge of the financial services industry. You will work with a group of talented team members who will work with you for your growth and success.
- Serve all internal and external client needs including preparation of registration statements and/or other regulatory filings required under the Investment Company Act, Investment Advisers Act, Securities Act of 1933 and Securities and Exchange Act of 1934.
- Prepare drafts of regulatory documents for various mutual funds, exchange-traded funds and closed-end funds for filing with the U.S. Securities and Exchange Commission (SEC), including Forms N-1A, N-2, N-CSR, N-PX, PRE 14A, DEF 14A and N-14.
- Review EDGAR versions of regulatory filings and file the SEC.
- Coordinate tabulation/production of proxy materials for both routine proxies and special shareholder meetings, including obtaining quotes and engaging the proxy tabulator.
- Collaborate with attorney team members to plan and prepare for the respective fund board and shareholder meetings.
- Attend client board meeting and take minutes as needed.
- Draft and distribute legal documents, communications, resolutions, board meeting minutes, correspondence, notices, proxies, agendas, ballots, and proxy statements.
- Oversee the preparation and maintenance of multiple client regulatory filing and compliance calendars.
- Monitor and report on regulatory initiatives promulgated by various regulatory agencies such as the SEC and Financial Industry Regulatory Authority (FINRA).
- Mentor paralegal team members on department policies and procedures, day-to-day tasks and special projects.
- All other jobs assigned.
- Bachelor's degree, paralegal certification or equivalent work experience.
- 3-5 years of experience with mutual fund, corporate governance or regulatory filing strongly preferred.
- Knowledge of Investment Company and Investment Advisers Act of 1940 strongly preferred.
- Experience with EDGAR.
- Proficiency with legal terminology relevant to the industry.
- Excellent verbal and written communication skills and strong ability to communicate with a wide and diverse audience (both internal and external).
- Advanced spelling, grammar, and proofreading skills.
- Ability to work directly with clients on a daily basis.
- Willingness to work 4 days per month in one of our offices
Compensation: The compensation range for this position is $80,000 to $100,000. (This position is eligible to participate in a company bonus plan and stock program].
Benefits: SS&C offers a comprehensive benefits package including: Medical, Dental & Vision; HSA & FSA; Life & Disability; Accident, Hospital & Critical Illness; Flexible, Sick and Holiday Paid Time Off; 401(k) with Company Match; Employee Assistance Plan; Education Assistance; Professional Development and Employee Discounts
SS&C is an equal opportunity employer and values a diverse and inclusive workplace. All qualified candidates will receive consideration for employment without regard to age, race, color, religion, genetic information, sex, sexual orientation, gender identity, national origin, disability status, protected veteran status, or any other characteristic protected by law. For more information about Equal Opportunity in the Workplace please click here and here . SS&C is committed to working with and providing reasonable accommodation to job applicants with disabilities. If you are a qualified individual with a disability and need an accommodation or accessibility assistance to complete the online application, please contact us at for assistance. - provided by Dice