Job Description

 

Job Title Corporate Legal Assistant - Capital Markets Location New York Department Corporate Legal Assistants Reports to Legal Assistants Coordinator - Capital Markets Exempt/Non-Exempt Non-Exempt Work Schedule Monday through Friday, 9:30 a.m. to 5:30 p.m. (overtime as required) Position Summary Capital Markets Legal Assistants assist attorneys in various stages of securities transactions. They provide a vital service in preparing and verifying necessary documents to comply with local regulations. Essential Duties and Responsibilities Typical responsibilities include, but are not limited to, the following:
· Serve as a resource for attorneys and other professional staff on various Capital Markets/Corporate matters
· Assist with drafting, editing and proofreading ‘33 and ‘34 Act filings (registration statements, Form 20-F, 10-K, 10-Q, 8-K, 6-K, etc.) offering documents, memoranda of closing and other transactional documents
· Manage EDGAR process for ’33 and ’34 Act filings, including finalizing documents, coordinating conversion process, proofreading and editing EDGAR proofs
· Assist with preparation of drafts of DTC BLOR and riders, and arrange delivery and approval of same
· Prepare US Authorized Representative and Agent for Service of Process agreements
· Assist with due diligence matters by organizing, tacking and reviewing documents
· Revise, proofread and distribute draft agreements and other transactional documents
· Assist with the preparation of auditor comfort letters
· Obtain charter documents and good standing certificates from the Secretary of State in applicable jurisdictions
· Assist attorneys with pre-closing and closing transaction
· Handle post-closing matters including the preparation of closing binders
· Gather, organize and maintain precedent collections
· Conduct factual research assignments and draft memoranda
· Translate documents, and review and edit translations from Spanish to English and vice versa
· Track and monitor financial regulator websites and circulate rule and other releases
· Assist in the compilation and creation of transaction and business development presentations and memoranda
· Coordinate with internal and external working groups and with government agencies, service companies, vendors and firm staff to facilitate transaction execution
· Monitor the filing of documents with the Securities and Exchange Commission and with stock exchanges
· Prepare drafts of client bills and related documentation
· Contribute to knowledge management efforts within practice group
· Handle blue sky-related research and filings, including Form D filings via Electronic Filing Depository (EFD), Rule 701 research and filings, self-executing exemptions research, etc.
· Prepare drafts of FINRA filings in the Public Offering System for all transactions firm-wide requiring such filings, draft FINRA fee memos and assist attorneys with related work Qualifications/Position Requirements · Ability to manage a varied workload and meet deadlines
· Must be punctual and reliable
· Proficiency in MS Word, Excel, PowerPoint, Outlook and other applications as needed
· Strong analytical and interpersonal skills
· Must be able to work collaboratively with attorneys and staff, demonstrating strong teamwork and a positive attitude
· Excellent written and verbal communication skills
· Strong organizational skills, efficiency and attention to detail
· Ability to prioritize requests under time pressure and handle multiple, detailed tasks
· Motivated, work efficiently without direct supervision, take ownership of discrete projects and develop specialized expertise
· Ability to proofread typed material for typographical, spelling and grammatical errors
· Ensure confidentiality of all the Firm’s and clients’ documentation and information Education and/or Experience · Bachelor’s degree with a strong academic record is required
· Minimum 3 years related work experience in a law firm or professional services environment Compensation Commensurate wcomprehensive listing of activities, duties or responsibilities that are required of the employee. Duties, responsibilities and activities may change or new ones may be assigned at any time with or without notice.