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Investment Services Paralegal - 1

Absolute Opportunities
Chicago, Illinois, 60601, United States
February 14, 2018

Investment Services Paralegal - 1

Chicago, IL 60601

Assist on a variety of corporate, securities, SEC filings and transactional matters supporting the Investment Services Group. Prepare and manage various filings and related materials. 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.


• Preparing and reviewing 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.

• Drafting and maintaining 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 Knowledge, Skills, and Abilities: (Submission Summary)

1. A bachelor's degree and an ABA-approved paralegal certificate is preferred.

2. Three or more years' experience in Corporate or securities experience is required

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

4. Private fund or registered mutual fund experience is a plus

5. Experience in investment services or mutual fund compliance a plus

6. Strong research skills

7. Excellent written and verbal communication skills

8. Ability to perform multiple tasks in a fast-paced environment

9. Keen attention to detail

10. Willingness to work overtime

11. Ability to work independently under tight deadlines

12. Strong organizational skills

13. Ability to lift 25 pounds

14. Present Salary?

15. Salary Expectation?

16. Must be a US Citizen or Green Card holder.

17. Current Address?