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Corporate and Regulatory Legal Consultant

Corporate and Regulatory Legal Consultant

SPF Legal ConsultingNewport Beach, CA, US
21 hours ago
Job type
  • Full-time
Job description

ABOUT THE ROLE

Our client, a large asset manager, is seeking a legal consultant to work on corporate and regulatory matters, including certain filings.

RESPONSIBILITIES

Key responsibilities include, but are not limited to :

  • Assist in preparing regulatory filings, including by utilizing filing software where applicable.
  • Coordinate with internal and external counsel review of regulatory filings.
  • Work with internal teams to produce responses to information and due diligence requests
  • Assist in the preparation and organization of board materials
  • Assist attorneys with miscellaneous special projects as they are assigned
  • Draft, review, organize, and revise agreements
  • Maintain records of regulatory, contractual, and legal matters

POSITION REQUIREMENTS

  • Bachelor's Degree required
  • Prior experience with a law firm or in-house paralegal / regulatory specialist experience
  • Proficiency in Microsoft Suite

    • PREFERRED QUALIFICATIONS

  • Regulatory filing experience preferred (e.g., CFTC, SEC, NFA, DOL, FINRA, etc.)
  • Knowledge of the Investment Advisers Act of 1940 and Investment Company Act of 1940
  • Demonstrated ability to interpret laws and regulations

    • PROFESSIONAL SKILLS REQUIREMENTS

  • Excellent communication (verbal and written), facilitation, and interpersonal skills, including the ability to interact across all levels of an organization as well as external stakeholders
  • Strong analytical and organizational skills and the ability to manage multiple time sensitive tasks in a challenging, fast paced, deadline driven, and fluid environment
  • Ability to generate solutions and appropriately escalate to management
  • Ability to maintain a high level of confidentiality and integrity
  • Meticulous attention to detail
  • Quick learner and adaptable to learn new processes, concepts, and skills; ability to take initiative in learning and applying new skills
  • Highly motivated self-starter with the ability to work collaboratively and independently
  • Demonstrated competence in thinking strategically, analytically, conceptually, and innovatively, including the ability to synthesize and analyze data
  • Ability to multi-task, work in a demanding, fast paced environment and handle multiple, competing priorities and projects with high quality output
  • Demonstrated ability to navigate unstructured processes and simultaneously manage responsibilities of multiple-concurrent projects and competing demands
  • Clear commitment to culture, values, and approach
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