Securities and Compliance Paralegal

This is a fully remote position, open to applicants in United States.

📋 Description

• Assist in the preparation, drafting, review, and submission of the Company’s SEC filings, which encompass Forms 10-K, 10-Q, 8-K, DEF 14A, annual report materials, registration statements, and other related disclosure documents.

• Facilitate the complete SEC filing process, including document compilation, preparation of supporting files, exhibit coordination, signature packets, internal review workflows, and final filing logistics.

• Aid in the preparation and coordination of materials for the annual meeting, including director and officer questionnaires, proxy-related documents, and associated governance and disclosure processes.

• Coordinate, prepare, and file Section 16 reports, including Forms 3, 4, and 5, powers of attorney, beneficial ownership tracking, and related filing support.

• Oversee the Company’s and Section 16 filers’ EDGAR Next accounts and manage associated credentials, permissions, records, and processes.

• Maintain compliance calendars, checklists, and internal procedures for periodic, annual, and event-driven reporting deadlines.

• Uphold the Company’s governance policies, committee charters, corporate records, governance trackers, and related materials.

• Create templates for Board and Committee presentations and assist in the preparation, review, finalization, and distribution of Board and Committee materials.

• Keep calendars, trackers, and databases for Board and Committee meeting materials, approvals, action items, and associated governance processes.

• Facilitate onboarding processes for directors and officers, including Forms ID, questionnaires, certifications, and onboarding materials.

• Assist in the annual Board and Committee self-evaluation process.

• Support internal and external audit requests, including the preparation of audit response materials, production of meeting minutes, and coordination of supporting documentation.

• Provide assistance with subsidiary governance, corporate recordkeeping, and entity management matters as required.

• Aid in the administration of the Company’s securities trading policies, including trading preclearance requests, restricted trading lists, blackout communications, and addressing employee inquiries.

• Help maintain insider lists, training materials, FAQs, templates, and other resources related to securities compliance and obligations of public companies.

• Address FINRA, broker, transfer agent, and other stockholder-related inquiries as appropriate.

• Assist with equity, stockholder, and beneficial ownership-related processes, including internal tracking, recordkeeping, and coordination with relevant stakeholders.

• Draft, prepare, and coordinate correspondence, certifications, resolutions, consents, notices, and other legal and governance documents.

• Organize and maintain legal files, records, workflows, templates, and process documentation.

• Identify opportunities to enhance efficiency, quality, consistency, and scalability across securities, governance, compliance, and legal operations processes.

• Support additional projects and responsibilities within the Legal Department as assigned.

⛳️ Requirements

• Bachelor’s degree.

• A minimum of 2 years of relevant experience in securities, corporate governance, public companies, or law firms.

• Experience in supporting SEC filings, Section 16 filings, proxy statements, or public company governance.

• Proficient with EDGAR, EDGAR Next, Shareworks, Computershare, Monday.com, or Workiva software.

• Advanced proficiency in Microsoft Office, including Word, Excel, PowerPoint, and Copilot.

• Strong judgment and discretion in handling confidential, sensitive, and material nonpublic information.

• Ability to manage multiple priorities, stakeholders, and deadlines in a fast-paced environment.

• Excellent written and verbal communication skills.

• Proactive approach focused on improving workflows, templates, and operating procedures.

• Enthusiasm for utilizing technology and AI to enhance efficiency, accuracy, and legal service delivery.

🏝️ Benefits

• A discretionary bonus typically awarded annually.

• Restricted Stock Units granted upon hire.

• 401(k) matching and a comprehensive employee benefits package.