The Harvest Consulting Group
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Investment Services Paralegal

Location : Chicago, IL
Job Type : Direct
Hours : Full Time
Travel : Yes
Relocation : No

Job Description :

Investment Services Paralegal

Our client, an established, reputable law firm is looking for an Investment Services Paralegal to join their team in Chicago, IL as a full-time employee. The Investment Services Paralegal assists on a variety of corporate, securities, SEC filings and transactional matters supporting the Investment Services Group. You will prepare and manage various filings and related materials. In addition, you will handle document preparation and distribution, preparation of  UCCs for closings and post-closing document preparation and distribution. This position entails direct interface with attorneys and clients. Our client offers a competitive compensation package, including great benefits!


* Prepare and review filings with the Securities and Exchange Commission for mutual funds, private funds, investment advisers and broker-dealers including Form N-1A, N-2, Form N-14, Proxy Statements, Form ADV, Form BD, Form D and Schedule 13Gs / 13Ds.

* Draft and maintain corporate legal and governance documents.

* Conduct research related to filings and business transactions through both print and electronic sources.

* Assist attorneys with filings, opinions and business transactions.

* Review and organize due diligence materials.

* Draft closing documents and correspondence.

* Prepare closing sets and post-closing documentation.

* Analyze and organize client records.

* Work with corporate vendors to attend to the filing of governmental and agency filings for fund and adviser clients.

* Interact with clients and other counsel during business transactions.

* Work effectively with project assistants and other support personnel for completion of client closing document sets.

* Annually log at least 1,500 billable hours.

Required Qualifications :


* Bachelor's Degree is strongly preferred. Will consider an ABA-approved Paralegal Certificate in lieu of a Bachelor's Degree.

* 3+ years of experience in Corporate or Securities environment.

Working knowledge of securities laws and regulations ( 1940 Act, Advisers Act, 1933 Act, 1934 Act, CFTC ).

* Strong research, written and verbal communication, multi-tasking, organizational and detail-orientation skills.

* Ability to work independently under tight deadlines.

* Willingness to work overtime (over 40 hours paid at time and a half). 

* Open to minimal travel as needed.

* Ability to lift 25 pounds.

* Pluses: Private fund or registered mutual fund experience; Experience in investment services or mutual fund compliance.

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