Paralegal
Core
Support corporate securities compliance, corporate governance, public company reporting obligations, and transfer agent responsibilities for a derivatives marketplace.
Role type
Governance Paralegal
Builds
Proxy statements, SEC filings, shareholder communications, and corporate governance documentation
Domain
Financial Services / Corporate Governance / Securities Law
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
SEC filing management, shareholder relations coordination, insider trading compliance, proxy statement preparation, annual meeting logistics, Section 16 compliance, minute book maintenance, regulatory examination support
Preferred skills
Securities Act of 1933 knowledge, Securities Exchange Act of 1934 knowledge, EDGAR proficiency, board portal proficiency
Technologies
Workiva, EDGAR, Board Portals
Responsibilities
Manage relationship with transfer agent and provide customer service to retail shareholders; Prepare and distribute director/officer questionnaires and board evaluations; Manage insider trading compliance and trading window communications; Lead preparation of proxy statements and manage proxy calendar; Coordinate annual meeting of shareholders logistics; Assist with Section 16 compliance and filing Forms 3, 4, and 5; Support responses to audit requests and regulatory examinations; Maintain minute books and corporate governance documentation
Seniority
Mid-level, independent contributor