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 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.