Paralegal - Investment Funds

USA Alston & Bird; New York (NY); On-site; USD 115,000 - 155,000; Full time

Job summary

Alston & Bird LLP in New York City seeks an experienced Securities Paralegal to join the Investment Funds practice group. You will prepare and file EDGAR submissions, Blue-Sky filings, Form D, Form IDS, and state registrations, while tracking statuses and maintaining filings for fund clients.

The ideal candidate has 7–10+ years of transactional/securities paralegal experience, familiarity with NASAA, the SEC, and FINRA, and can work overtime and irregular hours as needed; a paralegal certificate

Qualifications

• 7–10+ years’ experience as a transactional/securities paralegal.
• Experience with Blue-Sky and Form‑D requirements.
• Experience working with state examiners, the SEC, NASAA, and FINRA.
• Strong organizational, analytical, and interpersonal skills.
• Ability to work overtime and irregular hours as required.
• Professional business references and a background screening required for final applicants.

Responsibilities

• Prepares and files Form IDS with the SEC to obtain EDGAR Next Codes.
• Prepares and files Form Ds with the SEC and the states.
• Performs blue‑sky research and maintains state registration/exemption status.
• Monitors and tracks state status of registrations and/or exemption renewals.
• Prepares and files state registration and/or exemption documents.
• Familiarity with submission of filings via NASAA Electronic Filing Depository and its Statements of Policy for various securities offerings.

Skills

Organize tasks

Communicate effectively

Time management

Overtime availability

Education

Four-year college degree

Paralegal certificate (optional)

Job description

Job Overview

Alston & Bird LLP is seeking an experienced Securities Paralegal to work in the Investment Funds practice group in New York City.

Responsibilities

• Prepares and files Form IDS with the SEC to obtain EDGAR Next Codes.
• Prepares and files Form Ds with the SEC and the states.
• Performs blue‑sky research and maintains state registration/exemption status.
• Monitors and tracks state status of registrations and/or exemption renewals.
• Prepares and files state registration and/or exemption documents.
• Familiarity with submission of filings via NASAA Electronic Filing Depository and its Statements of Policy for various securities offerings.
• Prepares and files Form NF for registered 1940 Act fund clients.
• Prepares response letters to state securities commissioners.
• Familiarity with public companies with listed securities or companies subject to the ’34 Act reporting requirements.
• Files periodic 1933 and 1934 Act filings with state securities commissions.
• Submits Section 16 Filings (Forms 3, 4, 5) on behalf of fund officers, directors, and trustees.
• Manages submission of filings through the SEC EDGAR Next system.
• Conducts basic state securities law research, primarily through the CCH portal.
• Possesses experience in basic corporation, LLC, and LP formation.
• Provides backup assistance for paralegals in the Investment Funds group and the firm.
• Proofreads and edits legal documents.
• Maintains current and accurate daily time records.
• Performs special projects as assigned.

Qualifications

• 7–10+ years’ experience as a transactional/securities paralegal.
• Experience with Blue‑Sky and Form‑D requirements.
• Experience working with state examiners, the SEC, NASAA, and FINRA.
• Strong organizational, analytical, and interpersonal skills.
• Ability to work overtime and irregular hours as required.
• Professional business references and a background screening required for final applicants.

Skills

• Organize and prioritize numerous tasks, completing them under time constraints.
• Communicate effectively with a diverse group of clients, attorneys, and staff.
• Provide information with ordinary courtesy and tact.
• Work typically requires more than 40 hours per week; may require irregular hours.

Education & Experience

Completion of a four‑year college degree is required; a paralegal certificate is optional.

Salary

Hourly rate $115,000 – $155,000 per year (NYC). Position based on a 35‑hour work week subject to overtime.

Equal Opportunity Employer

Alston & Bird LLP is an Equal Opportunity Employer and does not discriminate on the basis of race, color, religion, sex, age, sexual orientation, gender identity or expression, national origin, veteran status, or disability in relation to recruiting, hiring, and promoting practices.