Blue Sky Paralegal

JOB DESCRIPTION

Alston & Bird's is seeking an experienced Blue-Sky / Securities Paralegal to work in our Investment Funds practice group in one of our East Coast offices.

Qualified candidates will have at least 5-10+ years’ experience in transactional areas as a paralegal to include Blue-Sky and Form-D experience, and experience working with state examiners and the Securities Exchange Commission (SEC).

Candidates should be self-starters, highly organized, and team players. Overtime is often needed to meet client deadlines.

• Prepares and files Form IDs with the SEC to obtain EDGAR Codes
• Prepares and files Form Ds with the SEC and the States
• Files Form Ds with the states, either electronically through EFD or by paper
• Experience working with state securities regulatory administrators, as well as NASAA, the SEC, and FINRA
• Performs blue sky research re : state exemptions. Monitors / tracks state status of registrations and / or exemptions renewals
• Prepares and files state registration and / or exemption documents
• Familiarity with submission of filings via and its Statements of Policy for various securities offerings
• Prepare and File Form NF (for registered 1940 Act fund clients)
• Prepare response letters to state securities commissioners
• Familiarity with public companies with listed securities or companies that are subject to the ’34 Act reporting requirements
• File periodic required 1933 and 1934 Act filings with state securities commissions.
• Submit Section 16 Filings (Forms 3, 4, 5) on behalf of fund officers and directors / trustees
• Manage submission of filings through SEC EDGAR system.
• Basic research ability for state securities law research (primarily through CCH portal)
• Experience in basic corporation, LLC, and LP formation
• Provide backup assistance for the paralegals in the Investment Funds group and the Firm
• Proofread and edit legal documents
• Maintain current and accurate daily time record
• Perform special projects as assigned
• Ability to work overtime and irregular hours as dictated by the Firm and client needs

SKILLS NEEDED TO BE SUCCESSFUL

Ability to organize and prioritize numerous tasks and complete them under time constraints.

Interpersonal skills necessary in order to communicate and follow instructions effectively from a diverse group of clients, attorneys and staff and provide information with ordinary courtesy and tact.

Work typically requires more than 40 hours per week to perform the essential duties of the position; may require irregular hours.

Ability to travel to private and public buildings, locally and statewide, via private or public conveyance to assist attorney in attending to client needs on legal matters.

Position may entail domestic travel.

EDUCATION & EXPERIENCE

Completion of a four-year college degree is required, paralegal certificate optional.

5-10+ Years of experience as a Litigation paralegal.