Capital Markets Paralegal

Capital Markets Paralegal Overview

• The Capital Markets Paralegal will support securities, corporate governance, and capital markets functions, focusing on SEC reporting and registration filings.
• Collaborate with in-house counsel, outside counsel, finance, and compliance teams to ensure timely and accurate public disclosures.
• Coordinate preparation and filing of periodic reports and registration statements, ensuring compliance with statutory deadlines and internal review cycles.
• Assist in executing capital markets transactions, including updating registration statements and coordinating due diligence processes.
• Support corporate governance activities such as preparing board materials, maintaining corporate records, and assisting with shareholder meetings.
• Manage complex, multi-workstream filings by setting timelines, assigning tasks, and driving teams to meet regulatory deadlines.
• Identify inefficiencies in filing processes and implement improvements to enhance workflow efficiency.
• Participate in a comprehensive interview process, including meeting with legal and finance teams and completing a case study.

Capital Markets Paralegal Key Responsibilities & Duties

• Coordinate preparation, review, and filing of SEC reports such as 10-Ks, 10-Qs, and 8-Ks.
• Draft, format, and proofread disclosure documents, ensuring accuracy and compliance with regulatory requirements.
• Support capital markets transactions, including continuous offerings and private placements.
• Prepare and maintain closing checklists, signature pages, and officer's certificates for transactions.
• Assist with roadshow logistics, board approvals, and post-closing filing obligations.
• Maintain corporate governance documentation, entity charts, and subsidiary records.
• Support the preparation of proxy-related materials for shareholder meetings.
• Implement process improvements, templates, and checklists to enhance filing lifecycle efficiency.

Capital Markets Paralegal Job Requirements

• Bachelor's degree or paralegal certificate from an ABA-approved program.
• 4–7 years of corporate/securities/capital markets paralegal experience at a law firm or public company.
• Hands-on experience preparing and filing SEC reports and registration statements via EDGAR.
• Proficiency in managing capital markets transactions, including due diligence coordination and closing mechanics.
• Strong project management skills to independently manage complex filing timelines.
• Exceptional attention to detail and discretion with confidential information.
• Proficiency with disclosure and board management platforms, as well as advanced MS Office skills.
• Prior experience in crypto, fintech, or asset management companies is preferred.