Paralegal (Financial Services)


: $108,546.67 - $169,860.00 /year *

Employment Type

: Full-Time


: Legal

Our client, a well-established and highly regarded alternative investment firm in Midtown, NY, is looking to add a paralegal to their Legal & Compliance team!

This person will be responsible for drafting dissolution documentation, assisting with legal onboarding, conducting OFAC checks on the firm's counterparties, and tracking fund investment restrictions.

The ideal candidate will have at least four years' experience in financial services compliance for either a reputable law firm or recognized financial services firm.

You will...

  • Assist in managing the Chief Compliance Officer's workflow; includes developing a working knowledge of matters and participants. It also includes proactively following up on pending items and/or continuous progress.
  • Manage the workflows and documents relating to formation, maintenance, and liquidation of U.S. legal entities (LLCs, partnerships, corporations, etc.) for use in investment structures.
  • Maintain and manage entity documentation database and corporate minute books.
  • Assist the Legal team in the execution and administration of the regulatory Compliance Program, including Code of Ethics and Personal Trading Policies.
  • Experience with regulatory compliance platforms.
  • Assistance in cooperation with and responding to regulatory inquiries and examinations
  • Lead administrative and technical trouble-shooting related projects.
  • Assist with signature execution and processing of agreements and other documentation.
  • Assist with regulatory filings, including CFTC exemption filings.
  • Conduct OFAC checks on counterparties.


  • Bachelor's degree
  • Minimum four years of transcational, litigation, or compliance paralegal experience
  • Proficient in MS Office (Excel, Word, PowerPoint, Outlook) and Adobe
  • Excellent organizational skills and strong attention to detail
  • Must work well under pressure
  • Understanding of the financial services industry

Associated topics: administrative, administrative assistant, administrative associate, clerk, deputy clerk, legal assistant, legal secretary, paralegal, paralegal corporate, receptionist * The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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