DST Systems Investment Company Act Paralegal in Denver, Colorado

The speed of technology. The influx of data. Shifting regulations. Increased customer expectations.

That's where you'll find DST, helping clients find opportunity in ever-changing and complex customer, business, and regulatory requirements. Mastering complexity is a constantly changing and evolving challenge – one that only a few people can embrace and thrive upon.

If you see your opportunity in complexity, then we are the right fit for you.

Job Description:

Organizational Overview

Through its subsidiary companies, ALPS Holdings, Inc. is a leading provider of innovative investment products and customized servicing solutions to the financial services industry. Founded in 1985, Denver-based ALPS delivers its asset management and asset servicing solutions through offices in Boston, Dallas, Miami, New York, San Francisco, Seattle, and Toronto. ALPS is a wholly owned subsidiary of Kansas City-based DST Systems, Inc. For more information about ALPS and its services, visit www.alpsinc.com. Information about ALPS’ products is available at www.alpsfunds.com.

Role Overview

Investment Company Act Paralegals have direct interaction with multiple clients on a daily basis. They are singlehandedly expected to work directly with clients and projects and are expected to manage these projects efficiently and with attorney/Sr. Investment Company Act Paralegal supervision.


  • Serve all client needs including preparation of registration statements and/or other regulatory filings required under the Investment Company Act, Investment Advisors Act, Securities Act of 1933 and Securities and Exchange Act of 1934.

  • Prepare drafts of regulatory documents for various mutual funds, exchange traded funds and closed-end funds for filing with the U.S. Securities and Exchange Commission (SEC), including Forms N-1A, N-2, N-CSR, N-PX, XBRL, PRE 14A, DEF 14A, N-Q and N-14.

  • Review and sign off on EDGAR versions of regulatory filings prior to them being sent to the SEC.

  • Assist in coordination all aspects of tabulation/production of proxy materials for both routine proxies and special shareholder meetings, including obtaining quotes and engaging the proxy tabulator.

  • Work with attorneys to plan and prepare for the respective fund board and shareholder meetings.

  • Assist in drafting and distributing legal documents, communications, resolutions, board meeting minutes, correspondence, notices, proxies, agendas, ballots, and proxy statements.

  • Prepare and maintain multiple client regulatory filing and compliance calendars.

  • Other duties as assigned.


  • Bachelor's degree and paralegal certification or equivalent work experience.

  • 3-5 years of experience required with mutual fund, corporate governance or regulatory filing.

  • Knowledge of Investment Company and Investment Advisors Act of 1940 required.

  • Experience with EDGAR.

  • Proficiency with legal terminology relevant to the industry.

  • Excellent verbal and written communication skills and strong ability to communicate with a wide and diverse audience (both internal and external).

  • Advanced spelling, grammar, and proofreading skills.

  • Ability to work directly with clients on a daily basis.



Denver Colorado

DST is an equal opportunity employer and values a diverse and inclusive workplace. All qualified candidates will receive consideration for employment without regard to age, race, color, religion, genetic information, sex, sexual orientation, gender identity, national origin, disability status, protected veteran status, or any other characteristic protected by law. For more information about Equal Opportunity in the Workplace please click here and here. DST is committed to working with and providing reasonable accommodation to job applicants with disabilities. If you are a qualified individual with a disability and need an accommodation or accessibility assistance to complete the online application, please contact us at PeopleCenter@dstsystems.com for assistance.

DST Systems, Inc. is a leading provider of specialized technology, strategic advisory, and business operations outsourcing to the financial and healthcare industries. Combining unmatched industry knowledge, critical infrastructure and service excellence, DST helps companies master complexity in the world’s most demanding industries to ensure they continually stay ahead of and capitalize on ever-changing customer, business and regulatory requirements.

We work with companies in some of the world’s most demanding industries where rapid shifts in consumer, regulatory, and technology trends are increasingly affecting how our clients do business. For them, keeping up in a landscape of constant change is becoming more and more complex. Through our technology, strategic advisory, and business improvement solutions we work with clients to help them stay ahead of and capitalize on customer, business, and regulatory change.

Mastering complexity is not an end-state. It’s a constantly changing and evolving challenge – one that only a few people can embrace and thrive upon. If you see your opportunity in complexity, then we are the right fit for you.