Paralegal - Investment Advisory - Global Investment Firm

Paralegal - Investment Advisory - Global Investment Firm

Overview

A large financial organization is seeking a Legal Associate to join its team in New York. This position assists attorneys with legal, regulatory, and operational matters connected to the global offering of investment vehicles. The role contributes to product development, partner onboarding, sales assistance, and governance activities for the enterprise as a regulated international entity. Collaboration with internal legal groups, outside counsel, and cross‑functional colleagues is central to the position.

Core Duties

• Prepare, review, and maintain distribution, placement, and selling contracts for private and ongoing funds.
• Oversee execution, filing, and recordkeeping of agreements; track internal responsibilities.
• Manage databases and trackers for contracts, filings, and jurisdictional requirements; administer document systems.
• Refresh templates, checklists, and precedents to streamline distribution processes.
• Work with technology teams and service providers to establish feeder fund and related structures.
• Assist with drafting and reviewing subscription agreements, transfer forms, and account documents.
• Coordinate with legal, compliance, product, marketing, sales, and operations groups during fund launches and ongoing distribution.
• Review and negotiate corporate and vendor contracts under attorney guidance.
• Help onboard institutional clients and employee investments into firm‑sponsored funds.
• Respond to due diligence requests from wealth management partners.
• Conduct legal research on international securities distribution rules and summarize findings.
• Maintain governance records (signatory lists, operating agreements, tax forms, organizational charts, certificates of good standing).
• Assist with regulatory filings (FINRA, DTCC, NASAA, state notices).
• Support intellectual property matters, including trademark registrations and renewals worldwide.
• Handle notarization and authentication of documents.
• Provide general administrative support: scheduling, formatting, and preparing meeting materials.

Candidate Profile

• Bachelor's degree required; paralegal certification preferred.
• 2-5 years of experience in a law firm, investment manager, or broker‑dealer.
• Familiarity with U.S. securities laws (Securities Act, Advisers Act, Investment Company Act) and private wealth product distribution preferred.
• Strong client orientation with excellent interpersonal and communication abilities.
• Skilled in Microsoft Office; experience with document management and compliance platforms. Familiarity with FINRA portal, EDGAR, and NASAA EFD is a plus.
• Team‑focused, entrepreneurial mindset with ability to collaborate across all levels of the organization.
• Strong analytical, problem‑solving, and project management skills; detail‑oriented and thorough.
• Excellent written and verbal communication skills.
• Proactive, resourceful, and commercially aware with ability to escalate issues appropriately.
• Highly organized, able to manage multiple priorities in a fast‑moving, global environment.