Senior Disclosure Paralegal

Oppenheimer Funds

(New York, New York)

Full Time

Job Posting Details

Responsibilities

Principal Responsibilities:
 
- Partner with attorneys and other legal staff to prepare SEC filings and other materials in connection with the requirements of the Securities Acts of 1933 and 1934, and the Investment Company Act of 1940
- Draft disclosure documents and coordinate review and edits with portfolio management and legal counsel
- Prepare initial and amended registration statements, prospectuses (statutory and summary), and statements of additional information
- Execute summary prospectus filings, shareholder proxy statements, prospectus supplements and other mutual fund and securities-related SEC submissions
- Gather and prepare documentation for Fund Board meetings
- Work with legal and marketing staff, other internal departments, and external auditors on registration statements
- Assist attorneys with specialized functions including licensing, insurance, investments, compliance, broker dealer and institutional matters
- Assist in preparation of minutes, consents, corporate documents and filings.
- Maintain corporate and compliance files
- Research questions on mutual fund and other securities-related/corporate matters
- Assist with special projects as needed

Key Projects:
 
- NSARs
- Review and update NSAR form
- Prepare documentation for SEC filing
 
Sub-Advised Materials
 
- Review and update sub-advised products by comparing against similar OFI Fund products
- Assist attorney(s) in researching and/or drafting of language for sub-advised documents
 
DocuBuilder Library Cleanup
 
- Assist attorneys in standardizing investment related language for summary prospectus
- Update DocuBuilder and consolidate components for all documents

Principal Responsibilities:

Partner with attorneys and other legal staff to prepare SEC filings and other materials in connection with the requirements of the Securities Acts of 1933 and 1934, and the Investment Company Act of 1940
Draft disclosure documents and coordinate review and edits with portfolio management and legal counsel
Prepare initial and amended registration statements, prospectuses (statutory and summary), and statements of additional information
Execute summary prospectus filings, shareholder proxy statements, prospectus supplements and other mutual fund and securities-related SEC submissions
Gather and prepare documentation for Fund Board meetings
Work with legal and marketing staff, other internal departments, and external auditors on registration statements
Assist attorneys with specialized functions including licensing, insurance, investments, compliance, broker dealer and institutional matters
Assist in preparation of minutes, consents, corporate documents and filings.
Maintain corporate and compliance files
Research questions on mutual fund and other securities-related/corporate matters
Assist with special projects as needed

Key Projects:

NSARs
Review and update NSAR form
Prepare documentation for SEC filing

Sub-Advised Materials

Review and update sub-advised products by comparing against similar OFI Fund products
Assist attorney(s) in researching and/or drafting of language for sub-advised documents

DocuBuilder Library Cleanup

Assist attorneys in standardizing investment related language for summary prospectus
Update DocuBuilder and consolidate components for all documents

Ideal Candidate

Competencies for Success/Requirements:

8+ years of paralegal experience with exposure to securities matters
Asset management experience an absolute requirement
Experience drafting prospectus disclosure with a strong understanding of the pertinent legal issues and risks surrounding them
Strong computer skills including Microsoft Word, Excel, PowerPoint, Outlook
Excellent research, communication and writing skills
Strong attention to detail
Proactive problem-solver
Accurate proofreader
Eagerness to learn and the ability to work independently and in a team environment.
Bachelor’s degree or certificate in paralegal studies from an accredited institution
Knowledge of securities and FINRA rules