SEC Paralegal Consultant

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Job description

A prestigious financial services institution in Midtown, NYC, is seeking a skilled and detail-oriented SEC Paralegal Consultant for a 6-month contract role. The ideal candidate will have experience supporting compliance and legal teams with regulatory filings, particularly with the Securities and Exchange Commission (SEC). This role will provide key support to ensure the firm's adherence to regulatory requirements and deadlines.

Client Details

The client is a well-established financial services institution located in Midtown, New York City. Known for its strong commitment to regulatory compliance and corporate governance, the institution operates in a fast-paced environment and is highly regarded in the financial industry. The client provides a range of financial products and services, including investment management, advisory services, and regulatory reporting, and is dedicated to upholding the highest standards in securities law and compliance.

Description

The SEC Paralegal Consultant will be responsible for:

• Assist with preparing and filing required SEC forms.
• Support legal teams in managing filings related to securities transactions.
• Conduct research and ensure the firm's compliance with federal securities laws and SEC regulations.
• Prepare and maintain corporate records, including board minutes and resolutions related to public filings.
• Collaborate with external counsel on regulatory matters and transactional due diligence.
• Manage timelines and ensure accurate documentation for filing deadlines.
• Assist in drafting correspondence, legal documents, and memos.
• Review and organize regulatory documents for accuracy and completeness.
• Support internal legal teams on ad-hoc compliance and corporate governance projects.

Profile

The SEC Paralegal Consultant should have the following background and prior experiences:

• Bachelor's degree required. Paralegal certification from an accredited program preferred.
• Minimum 3-5 years of paralegal experience, with significant exposure to SEC filings and financial services.
• Strong knowledge of federal securities laws, SEC regulations, and corporate governance.
• Excellent organizational skills and attention to detail.
• Ability to manage multiple deadlines in a fast-paced environment.
• Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint).
• Strong written and verbal communication skills.
• Ability to collaborate effectively with internal and external stakeholders.
• Prior experience in a large financial institution.

Job Offer

The offer for the successful SEC Paralegal Consultant candidate includes a competitive hourly rate, commensurate with experience.

MPI does not discriminate on the basis of race, color, religion, sex, sexual orientation, gender identity or expression, national origin, age, disability, veteran status, marital status, or based on an individual's status in any group or class protected by applicable federal, state or local law. MPI encourages applications from minorities, women, the disabled, protected veterans and all other qualified applicants.

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