DST Systems Senior Paralegal - Investment Company Act 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.
In this senior level role, you will have direct interaction with multiple clients on a daily basis. Your expertise will be recognized as you'll manage clients and projects with limited attorney 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
Participate in SEC comment calls with respect to registration statement filings and SOX reviews
Coordinate 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
Regularly attend and take minutes at client board meetings and often serve as officers of the various investment companies
Draft and distribute legal documents, communications, resolutions, board meeting minutes, correspondence, notices, proxies, agendas, ballots, and proxy statements
Assemble and review documents in response to subpoenas and regulatory reviews
Oversee the preparation and maintenance of multiple client regulatory filing and compliance calendars
Conduct legal research and compile data for attorneys, clients, and corporate personnel from various sources
Monitor and report on regulatory initiatives promulgated by various regulatory agencies such as the U.S. Securities and Exchange Commission and Financial Industry Regulatory Authority (FINRA)
Partner with technical staff on the development of department databases.
Responsible for training and mentoring ICA Paralegals and Legal Assistants on department policies and procedures
Provide direction to ICA Paralegals and Legal Assistants on day-to-day and special projects
Bachelor's degree and paralegal certification or equivalent work experience
5 years’ experience with Investment Company and Investment Advisors Act of 1940 in the mutual fund industry preferred
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
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.
SS&C DST 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, SS&C 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.