Blue Sky Corporate Paralegal

They are seeking a highly skilled professional who thrives in a fast-paced, deadline-driven environment. The ideal candidate possesses strong problem-solving and decision-making abilities, ensuring efficiency and accuracy in every task. With a dedicated work ethic and a can-do attitude, you will take initiative and approach challenges with confidence and resilience. Excellent communication skills are essential for collaborating effectively across teams and delivering exceptional client service. If you are someone who demonstrate initiatives, adaptability, and innovation, we invite you to join their team.

This role will be based in either their New York City or Westchester County office, on an in-office basis.  Regular in-office presence is required for day-to-day operations, as well as for team meetings, training opportunities, and relationship building.

Position Summary

The Securities/Blue Sky Paralegal will provide organizational and practice specific assistance to attorneys in the Corporate Department involved in various securities-related transactions, including related federal and state securities laws research and analysis. The Securities/Blue Sky Paralegal will have specific experience and understanding of the state securities or “Blue Sky Laws” and the general filing requirements in the states. This position services numerous offices and will require the ability to work effectively with remote offices as well as be flexible to work overtime as needed.

Key Responsibilities

• Prepares and files Form IDs with the SEC to obtain EDGAR codes.

• Prepares and files Form Ds with the SEC and the states.

• Files Form Ds with the states, either electronically through EFD or by paper.

• Performs blue sky research re: state exemptions.

• Prepares and files state registration and/or exemption documents.

• Prepares first drafts of response letters to state comment letters.

• Monitors/tracks state status of registrations and/or exemptions.

• Monitors/tracks and prepares annual state registration and/or exemption renewals.

• Assists in various types of corporate and commercial transactions, including authorizations to do business in the various states.

• Maintains timely and accurate timekeeping records.

• Retains day to day responsibility for performance of general paralegal duties.

Qualifications

Skills and Competencies

• Knowledge of the workings of a corporation, and a general understanding, appropriate for a paralegal, of federal and state securities laws, and how to research the state blue sky laws.

• Experience working with state securities regulatory administrators, as well as NASAA, the SEC, and FINRA.

• Familiarity with public companies with listed securities or companies that are subject to the ’34 Act reporting requirements.

• Demonstrated attention to detail, reliability and ability to learn new technology quickly.

• Excellent client service skills and ability to work on multiple matters simultaneously in an organized manner and under minimal supervision.

• Flexible and able to respond quickly and positively to shifting demands.

• Position also requires the ability to work under pressure to meet strict deadlines

Education and Prior Experience

• Minimum of 5 years corporate securities experience within a law firm with a focus on the areas described herein.

• Bachelor’s Degree required, Certificate in Paralegal studies from an accredited institution preferred; equivalent experience considered.

• Certified Paralegal a plus.

Technology

•  Proficiency with Windows-based software and Microsoft Word, Excel and Outlook, required.

• Must be familiar with practice specific technology.