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In-house Paralegal (Finance/Investment Management)

Wayne, PA
SourcePro Search has a fantastic in-house opportunity for an experienced Finance Paralegal.  This role will support he Financial Services Legal Department of our large and well respected financial service and insurance provider client and will be based in the Wayne PA office.  This role offers a high base, excellent benefits and growth opportunities within a large organization.
Core Responsibilities: 
  • Preparing and updating investment company regulatory filings with the SEC, including prospectuses, statements of additional information, reports to shareholders, proxy materials, and other regulatory filings
  • Assisting in the maintenance of disclosure documents, including managing and updating content and functionality, using a web-based document production system
  • Gathering and organizing required information; preparing timelines, project plans and facilitating execution of routine and non-routine SEC filings
  • Coordinating with the internal staff and third-party vendors to distribute fund offering documents and other disclosure documents
  • Coordinating with staff of external fund counsel on all fund filings
  • Preparing disclosure documents in connection with the 529 Plans
  • Supporting the annual review and renewal of fidelity bond and directors' and officers' insurance policies, as requested
  • Assisting with SEC examinations and regulatory inquiries as necessary
  • Providing support for the planning, preparation, and execution of Board and Committee meetings, including drafting and reviewing meeting calendars, production schedules and responsibility matrices, including drafting and review of Board and Committee meeting materials and minutes.
  • Overseeing contract administration, including preparing documents for execution and implementing document management procedures
  • Maintain the Legal Department’s record retention program, including all electronic and hard storage, both on-site and off-site
  • Bachelor's degree required; Paralegal certificate preferred.
  • At least 5 years of experience in a mutual fund firm, investment management practice or SEC or another regulatory agency is required.
  • Demonstrated understanding of the mutual fund industry and an awareness of the laws and regulations that govern its activities

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