28 Jun
Securities Compliance Specialist
Minnesota, Southwest MN , 56258 Southwest MN USA

Vacancy expired!

A growing, very well respected private financial services company has a need for a Securities Compliance Specialist to assist with compliance work related to variable insurance products and mutual funds.

As a Securities Compliance Specialist (i.e., Mutual Fund Paralegal), you will provide support for a variety of law-related activities (that do not require a law degree) including legal or factual research, contract review and negotiation, document preparation and analysis, state and federal filings, department management/operation and corporate governance.

This role requires at least one year of experience with securities compliance/securities filings.

A bachelors degree or paralegal certificate is required.

Experience with variable insurance products or mutual funds is preferred but not required.

This is a hybrid role (some remote work; some in-office work).

Role includes a competitive base salary, an annual bonus, a pension and excellent benefits.

Responsibilities:

-Performance of a variety of work for SEC registered variable insurance products and/or mutual funds under the general guidance of an attorney.

-Assisting attorneys in the preparation of various registration statements and other disclosures related to variable insurance products.

-Use of a prospectus content management system to manage and update product prospectus disclosure. You will work with third party financial printers to file electronic filings with the U.S.

-SEC’s EDGAR database and ensure compliance with varioustechnical requirements.

-Interacting with clients and working team members to distribute draft documents for review and tocoordinate receipt and reconciliation of client comments on distributions.

-Coordinating data and information collection across corporate departments and external third parties.

-Composing drafts of memoranda and other communications for clients and attorneys, in additionto periodic research requests

-Preparation and maintenance of compliance calendars

Vacancy expired!


Report job