Corporate & Compliance Paralegal

Trinity Capital; Phoenix (AZ); On-site; USD 70,000 - 110,000; Full time

Job summary

Trinity Capital is seeking a Corporate and Compliance Paralegal to support governance, regulatory compliance, and asset management operations. Reporting to the Deputy General Counsel - Corporate, you will touch public company obligations and investment activities in a high-trust legal team.

The role focuses on corporate governance, SEC/regulatory compliance, and compliance program administration, with a strong emphasis on ownership of a meaningful scope of work and collaboration with senior

Qualifications

• 3–6 years of paralegal, legal operations, or compliance administration experience.
• Exposure to SEC-registered entities, investment companies, or investment advisers is a plus.
• Bachelor’s degree or paralegal certificate; proficiency with Microsoft Office.

Responsibilities

• Maintain corporate records and minute books for Trinity Capital and subsidiaries.
• Assist with SEC filings (10-K, 10-Q, 8-K) and related deadlines; liaise with auditors.
• Support compliance program administration, including certifications and disclosures.
• Assist with NDAs, vendor agreements, and deal-related diligence; support KYC documentation.

Skills

Paralegal experience

Legal operations

Compliance administration

SEC knowledge

Education

Bachelor's degree or paralegal certificate

Tools

Microsoft Office

EDGAR filings

ComplySci

EDGAR/filing tools

Job description

Trinity Capital is looking for a Corporate and Compliance Paralegal to support our legal and compliance functions as we continue to scale. Reporting to the Deputy General Counsel - Corporate, this role sits at the intersection of corporate governance, regulatory compliance, and asset management legal operations. You'll work closely with senior leadership on matters that directly touch our public company obligations and investment activities.

This role is well-suited for someone with a paralegal background who has developed exposure to SEC-registered entities, investment company regulatory frameworks, and/or compliance program administration — and who is looking to own a meaningful scope of work in a dynamic, high-trust legal team.

This role is based 100% onsite in downtown Phoenix.

Responsibilities

Corporate Governance

• Maintain corporate records for Trinity Capital and its subsidiaries, including minute books, board and committee resolutions, and organizational documents
• Assist with preparation of materials for board and committee meetings
• Assist with state filings, registered agent management, and entity maintenance across jurisdictions
• Support the preparation and filing of Section 16 reports (Forms 3, 4, and 5) and assist with insider trading compliance and trading window administration

SEC & Regulatory Compliance

• Assist with preparation and coordination of processes related to SEC filings including periodic reports (10-K, 10-Q, 8-K), proxy statements, and registration statements; manage filing deadlines
• Communicate clearly and responsively with Trinity’s independent registered auditors and internal auditor regarding their inquiries and requests
• Support regulatory filings related to Trinity's lending, investment company, and investment adviser registrations, including Form ADV and related amendments
• Maintain the compliance calendar; track upcoming regulatory deadlines and coordinate cross-functional responses to ensure timely completion

Compliance Program Administration

• Assist in management of Trinity’s compliance program — including trade pre-clearance requests, employee certifications, conflict of interest disclosures, and recordkeeping
• Assist with the periodic review of compliance policies and procedures
• Support responses to regulatory inquiries, examinations, and audits, including document collection, log maintenance, and coordination with outside counsel, consultants and advisers
• Assist in the delivery of employee compliance training and development of related educational materials; maintain completion records
• Identify opportunities to enhance compliance processes, monitoring activities, and overall program efficiency

Legal Operations & Contract Support

• Assist with review and execution of NDAs, vendor agreements, and other routine commercial contracts; maintain related records
• Assist with completion of KYC documentation for the company
• Support company and deal-related diligence processes as needed, including document collection and data room creation and organization

Characteristics

• Discretion and confidentiality: handles board materials, executive compensation data, insider trading windows, and pre-public deal information with consistent discretion and without prompting
• Accuracy and attention to detail: produces SEC filings, corporate records, and compliance documentation that are error-free and raises any known issues or gaps to be addressed
• Sound judgment and proactive communication: recognizes when a matter warrants escalation to legal or compliance leadership and surfaces it early
• Organizational discipline and deadline ownership: manages competing filing calendars, board cycles, and compliance review schedules without requiring follow-up – you track what’s due and when without being reminded
• Clear and concise written and verbal communication skills
• Positive attitude and strong work ethic

Experience:

• 3–6 years of experience in a paralegal, legal operations, or compliance administration role, with meaningful exposure to SEC-registered entities, investment companies, or investment advisers, a plus
• Familiarity with general compliance program administration — Code of Ethics, regulatory filings, policy maintenance — ideally in a BDC, registered investment adviser, or alternative asset manager
• Experience supporting SEC filings and EDGAR submissions preferred; working knowledge of the Investment Company Act of 1940 and/or Investment Advisers Act of 1940 a strong plus
• Bachelor’s degree or paralegal certificate
• Proficiency with Microsoft Office
• Experience with compliance software (e.g., ComplySci, RedOak, Smarsh, Global Relay), entity management platforms or EDGAR filing tools a plus

Physical Requirements:

• Ability to sit, stand, talk, utilize a computer, and read computer screens for extended periods of time
• Ability to lift up to 20 lbs.

Other:

Trinity Capital Inc. (Nasdaq: TRIN) is an international alternative asset manager that seeks to deliver consistent returns for investors through access to private credit markets. We are looking for an experienced professional to join our world-class team as a Corporate and Compliance Paralegal. This is a high-impact role within a rapidly growing, publicly traded organization, responsible for supporting corporate governance, regulatory compliance, and asset management legal operations, and partnering closely with senior leadership to ensure our public company obligations and investment activities are executed accurately and in full compliance.

Trinity is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, protected veteran status, sexual orientation, gender expression, gender identity, or any other characteristic protected by law.