Paralegal

Liberty Personnel Services, Inc.; New York (NY); On-site; USD 105,000 - 135,000; Full time

Job summary

Blue Sky Paralegal role at a national law firm in NYC focusing on state securities law compliance for private placements, public offerings, and investment adviser registrations.

The candidate will oversee Form D notices, Form U-2s, and multi-state filings, coordinating with attorneys, underwriters, and regulators while maintaining audit trails and compliance records.

Qualifications

• ABA-approved Paralegal Certificate preferred.
• 3 to 5+ years of dedicated Blue Sky / State Securities law experience within a mid-to-large law firm or corporate legal department.
• Solid understanding of the Securities Act of 1933, Securities Exchange Act of 1934, NSMIA, and Regulation D (Rules 504, 506(b), 506(c)).
• Proficiency with NASAA EFD, FINRA CRD/IARD, state agency websites, and electronic filing software.

Responsibilities

• Draft, review, and file Form D notices, Form U-2s, and state exemption notices across all 50 states and territories.
• Use NASAA EFD, FINRA CRD/IARD, and state portals for filings.
• Monitor investor residence lists and ensure filings and fees meet deadlines.
• Prepare and update Blue Sky Surveys, memoranda, and compliance charts for deal teams and clients.
• Assist with state licensing and regulatory registrations for brokers-dealers and advisers.
• Coordinate with attorneys, underwriters, regulators, and clients; perform legal research on state securities regulations.

Skills

Attention to detail

Organizational skills

Written and verbal communication

Multi-state filings

Excel proficiency

Education

ABA-approved Paralegal Certificate

Tools

NASAA EFD

FINRA CRD/IARD

State portals

iManage/NetDocuments

Microsoft Excel

Job description

Blue Sky Paralegal - Law Firm - NYC - $105-135k

Position Summary

Our client, a national law firm, is seeking an experienced and detail-oriented Blue Sky Paralegal to join their fast-paced Corporate & Securities practice group. This role is responsible for overseeing state securities law compliance for private placements, public offerings, venture capital investments, private equity funds, and investment adviser registrations. The ideal candidate will have extensive knowledge of state "Blue Sky" laws, SEC rules (including Regulation D and Rule 144A), and experience coordinating complex multi-state filing projects under tight deadlines.

Key Responsibilities

State Securities Compliance & Filings:

Draft, review, and file Form D notice filings, Form U-2s (Consent to Service of Process), and state-specific exemption notices across all 50 U.S. states and territories.

Utilize electronic filing platforms, including the Electronic Filing Depository (NASAA EFD), FINRA’s CRD/IARD systems, and state-specific portals.

Monitor investor residence lists and ensure all state filings and fee payments are executed within strict statutory deadlines (e.g., 15-day rules).

Blue Sky Analysis & Reporting:

Prepare and update comprehensive Blue Sky Surveys, memoranda, and state compliance charts for deal teams, funds, and corporate clients.

Analyze state statutes and administrative rules to evaluate exemptions for public and private securities offerings, broker-dealers, and investment advisers.

Fund & Entity Maintenance:

Support investment fund formations (hedge funds, private equity funds, venture funds) with ongoing state compliance, annual notice renewals, and amendments.

Assist with state licensing and regulatory registrations for broker-dealers, investment advisers, and registered representatives.

Transaction & Practice Support:

Coordinate directly with attorneys, underwriters, placement agents, state securities regulators, and corporate clients.

Assist with legal research on emerging state securities regulations and regulatory updates.

Maintain audit trails, compliance tracking logs, and organized records of all regulatory correspondence and fee disbursements.

Qualifications & Experience

Education & Credentials:

ABA-approved Paralegal Certificate preferred

Work Experience:

3 to 5+ years of dedicated Blue Sky / State Securities law experience within a mid-to-large law firm or corporate legal department.

Solid understanding of the Securities Act of 1933, Securities Exchange Act of 1934, National Securities Markets Improvement Act (NSMIA), and Regulation D (Rules 504, 506(b), and 506(c)).

Technical Skills:

Proficiency with NASAA EFD, FINRA CRD/IARD, state agency websites, and electronic filing software.

High proficiency in Microsoft Excel (for managing investor distributions, tracking metrics, and fee schedules) and legal document management systems (e.g., iManage, NetDocuments).

Exceptional organizational skills and high attention to detail.

Ability to manage multiple multi-state deal filings simultaneously in a high-volume environment.

Strong written and verbal communication skills for interfacing with attorneys and state regulators.