Impact Investing Paralegal

Warner Norcross + Judd LLP; Grand Rapids (MI); On-site; USD 52,000 - 70,000; Full time

Benefits offered by this job

Remote work flexibility

401k plan

Health insurance

Dental and vision insurance

Professional development

Job summary

Warner Norcross + Judd LLP seeks an Impact Investing Paralegal to coordinate and support state and federal securities filings. This role collaborates with attorneys, clients, and regulators to prepare filings, manage registrations, and ensure compliance in a fast-paced legal environment.

The ideal candidate has a paralegal certificate or bachelor’s degree with experience in corporate/securities matters and proficient MS Office skills, including advanced Excel.

Qualifications

• Bachelor's degree or paralegal certificate preferred.
• Experience in a law firm, corporate legal department or regulatory compliance environment preferred.
• Experience supporting business, corporate securities, or financial services matters preferred.
• Advanced Excel user.

Responsibilities

• Coordinate and support state and federal securities filings for clients across multiple jurisdictions.
• Prepare documents for state filings and revise documents for filing.
• Assist with EDGAR filings and agent registrations.
• Develop and maintain filing lists and contact charts for multiple states.
• Draft filing letters and communications to regulators and clients.

Skills

Attention to detail

Organization

Communication

Confidentiality

Regulatory knowledge

Education

Bachelor's degree or paralegal certificate

Tools

Microsoft Office

Excel

EDGAR familiarity

Job description

Description

About the Position

Warner Norcross + Judd LLP is seeking aImpact Investing Paralegal to join our team.

The Impact Investing Paralegal is responsible for coordinating and supporting state and federal securities filings for clients across multiple jurisdictions. This role works closely with attorneys, clients and regulatory agencies to prepare and submit filings, manage agent registrations and EDGAR submissions, maintain compliance records, monitor filing requirements and support client service initiatives while ensuring accuracy, organization and responsiveness in a fast-paced legal environment.

What You’ll Do

• Prepare documents for upcoming state filings (State Specific Forms, Status of Contacts, State Fee List, etc.).
• Review and revise documents for filing (i.e. Prospectus and Offering Circular, State Specific Forms).
• Prepare materials for annual filings (cross-reference sheets and additional documents required that are not state specific forms, sales reports).
• Review and revise executed documents.
• Facilitate Check Requests and FedEx Labels for annual filings.
• Draft Filing Letters for Annual Filings.
• Draft Filing/Email Letters for various filings (post/pre-effective amendments, advertising, supplements, etc.) and then file in all applicable states via email, web upload and FedEx.
• Assist with response to state comment letters.
• Prepare and file multi-state registration and exemption filings in relevant jurisdictions via filing via EFD, FedEx, Web Upload, Email.
• Communicate with state regulators to determine any issues with a filing or to request renewal updates.
• Quarterly reports are required for a few states:
• Draft Colorado and California Forms.
• Send to attorneys for review – once approved send to each state with a reminder of what we require in order to file.
• Once we receive the requested information, review, record and file in applicable state.
• Maintain a chart in order to determine which Issuers have filed and which have not.
• Maintain a list that help us determine how to file in each state (EFD, Email, FedEx, or Web Upload), the person we should file with, updated addresses, emails and phone numbers for both regular filings and agent registration filings.
• Maintain a list of documents to be filed in each state for each Issuer, including a chart that indicates how to file (EFD, Email, FedEx, or Web Upload).
• Maintain a list of states that require advertising for CEF and CDFI Issuers.
• Agent Registrations
  • Maintain a list of all agents registered for states and when they are due on a yearly basis.
  • Prepare Form U-4s and U-5s to be signed by each agent. These are required to be updated on a yearly basis.
  • Draft filing letters for any state requiring agent registration/renewal filings.
  • Draft Renewal Forms and/or Agent Registration Forms for all state requiring them.
  • Maintain Checklist of Agent Registration/BD Reports for each Issuer.
  • During each year, agents retire or leave companies and new agents begin work for each Issuer. For those Issuers where we handle the Agent Registrations, we work to send the appropriate forms to the appropriate states to either terminate or register an agent.
• Obtain and maintain EDGAR access codes, filing credentials, and account information for clients for filing the SEC Form D.
• Prepare, format, proofread, and submit Form D filings through the EDGAR system.
• Maintain accurate filing records, electronic files, and supporting documentation.
• Monitor changes to SEC filing requirements, EDGAR procedures, and regulatory guidance.
• Provide technical support to attorneys and staff regarding EDGAR filing processes and requirements.

The above list is not intended to be all inclusive but provides a general framework for the position. Other related responsibilities will arise from time-to-time.

The physical demands of this position are representative of those that must be met by an employee to successfully perform the essential functions of the position. These include being both mobile and stationary throughout the workday, having the ability to transport 25 pounds and being able to operate a computer and other business equipment found in the office.

What Makes You Successful

• Strong attention to detail and organizational skills
• Ability to manage multiple deadlines and prioritize competing responsibilities effectively
• Strong written and verbal communication skills
• Professionalism, sound judgment and ability to maintain confidentiality
• Knowledge of corporate legal processes, business entity structures and corporate maintenance requirements
• Knowledge of regulatory filing processes and compliance-related documentation

About You

• Bachelor's degree or paralegal certificate preferred
• Prior experience in a law firm, corporate legal department or regulatory compliance environment preferred
• Experience supporting business, corporate securities, or financial services matters preferred
• Experienced with Microsoft Office; advanced Excel user

About Warner

Warner is a full-service corporate law firm with 230+ attorneys practicing in nine offices throughout Michigan: Bloomfield Hills, Detroit, Grand Rapids, Holland, Kalamazoo, Lansing, Macomb, Midland and Muskegon. To learn more, visit www.wnj.com, or follow us on LinkedIn or Facebook.

About Our Benefits

• Comprehensive medical, dental, and vision insurance plans
• Firm-provided life insurance and disability coverage
• 401k with employer contribution or match depending on plan design
• Generous PTO and leave policies
• Firm holidays
• Remote work flexibility
• Wellness program
• Employee assistance program
• Professional development opportunities

About Our Culture

Warner’s cultural motto is “Fun, Pride + Profit...in that Order”. We build A Better Partnership through:

• Teamwork – Warner’s lockstep compensation model encourages teamwork and distinguishes us from our competitors. Partner and associate salaries are set based upon seniority, not total hours worked, encouraging client legal projects to be routed to the most knowledgeable person in the firm. Our team approach to compensation yields better legal representation for our clients and lays the foundation for a fun culture without internal financial competition. We have a team atmosphere where people like working together and supporting each other.
• Diversity – At Warner, we take an “all in” approach to DEI – engaging people at all levels of the firm to lead and participate on DEI committees and initiatives. This ensures a broad base of support from team members truly invested in leading the charge. It’s because of their time and efforts we are as successful as we are – and that success radiates throughout the whole firm. Our DEI work has become not only the right thing to do, but more importantly, what our people want to do.
• Careers – Our culture of balanced personal and professional lifestyle allows us to maintain a 94% attorney retention rate. Attorneys throughout Michigan, the region and beyond are choosing Warner as their forever home – and because of our dedicated focus on living balanced lives, our attorneys’ families are fully supporting these important decisions.
• Community – Warner’s time-honored community engagement initiatives include financial contributions to 150+ nonprofits, scholarships and paid time off for all firm members to engage in community initiatives that are meaningful to them.

Closing Statement

Warner hires top talent at every point in our organization. We are seeking dedicated professionals with diverse backgrounds who strive to support the firm and its goals. Our collegial culture attracts people with diverse skills and backgrounds who are dedicated to teamwork and client service.