Paralegal

Glocap Search; New York (NY); On-site; USD 70,000 - 110,000; Full time

Job summary

Glocap Search is seeking a highly organized Paralegal to support Legal and Compliance in a fast‑paced investment management environment. The ideal candidate has about 5 years of paralegal experience, preferably in asset management, law firms, or financial services.

The role covers legal and compliance duties, including document management, governance support, and regulatory filings. Strong organization and communication are essential, with FINRA/Series 24 considered a plus.

Qualifications

• Bachelor's degree required.
• About 5+ years of paralegal experience in asset management or financial services.
• Working knowledge of investment adviser regulations and asset management preferred.
• Experience supporting corporate governance and regulatory compliance programs.
• FINRA Series 24 license preferred, or willingness to obtain after joining.

Responsibilities

• Assist with preparation, review, execution, and maintenance of NDAs and vendor agreements.
• Manage legal document organization, retention, and filing systems.
• Coordinate contract execution and maintain databases and trackers.
• Support governance activities: meetings, materials, resolutions, minutes.
• Assist with entity formation and annual filings for domestic and international entities.
• Coordinate responses to legal requests and due diligence inquiries.
• Conduct legal research and assist with special projects.
• Liaise with outside counsel on various matters.
• Support the compliance program under the Investment Advisers Act and FINRA.

Skills

Paralegal experience

Organizational skills

Attention to detail

Communication skills

Cross-functional collaboration

Education

Bachelor's degree

Tools

Microsoft Office

Legal document management systems

Job description

Our client is an investment management firm. They are seeking a highly organized and detail-oriented Paralegal to support both the Legal and Compliance functions.

This is an excellent opportunity for a proactive professional who enjoys working across multiple disciplines in a fast-paced investment management environment. The ideal candidate will have approximately 5 years of paralegal experience, preferably within an asset manager, investment adviser, law firm, private equity, hedge fund, or other financial services organization.

Responsibilities

Legal Support

• Assist with the preparation, review, execution, and maintenance of a variety of legal agreements, including NDAs, vendor agreements, engagement letters, subscription documents, confidentiality agreements, and other commercial contracts.
• Manage legal document organization, retention, and electronic filing systems.
• Coordinate contract execution and maintain contract databases and key obligation trackers.
• Support corporate governance activities, including board and committee meetings, preparation of meeting materials, resolutions, minutes, and corporate records.
• Assist with entity formation, maintenance, annual filings, and corporate housekeeping for domestic and international entities.
• Coordinate responses to legal requests and due diligence inquiries.
• Conduct legal research and assist with special projects as requested by the Legal team.
• Liaise with outside counsel on various legal matters.

Compliance Support

• Assist in administering the firm's compliance program under the Investment Advisers Act and applicable FINRA regulations.
• Support the preparation and maintenance of compliance policies, procedures, manuals, and internal controls.
• Assist with regulatory filings and documentation, including Form ADV updates and other regulatory reporting.
• Coordinate employee compliance processes, including personal trading, outside business activities, gifts & entertainment, political contributions, certifications, and annual compliance attestations.
• Assist with regulatory examinations, audits, and internal reviews by organizing documentation and coordinating information requests.
• Maintain compliance records, logs, and regulatory documentation.
• Support compliance monitoring, testing, surveillance, and periodic risk assessments.
• Assist with onboarding and ongoing compliance training initiatives.

General

• Serve as a cross-functional resource for legal and compliance matters across the firm.
• Track deadlines, deliverables, and regulatory reporting requirements.
• Participate in process improvement initiatives and help implement technology solutions to improve legal and compliance operations.
• Perform additional legal and compliance projects as assigned.

Qualifications

• Bachelor's degree required
• Approximately 5+ years of paralegal experience supporting legal and/or compliance functions within an investment manager, financial institution, law firm, or other regulated financial services environment.
• Working knowledge of investment adviser regulations and alternative asset management is strongly preferred.
• Experience supporting corporate governance, contract administration, and regulatory compliance programs.
• Strong understanding of legal documentation, corporate records, and document management best practices.
• FINRA Series 24 license preferred, or willingness to obtain the license after joining the firm.
• Exceptional organizational skills with the ability to manage multiple priorities simultaneously.
• Strong written and verbal communication skills.
• High level of discretion, professionalism, and attention to detail.
• Advanced proficiency with Microsoft Office; experience with legal document management or compliance systems is a plus.