Capital Markets Paralegal

Skills

About the Role

You will coordinate the preparation, review, and EDGAR filing of periodic SEC reports and registration statements. You will maintain filing calendars, manage deadlines and approvals, proofread disclosures, reconcile documents against source data, and oversee exhibits, certifications, and registration compliance. You will support capital markets transactions by assembling offering documents, closing materials, due diligence records, approvals, and post-closing filings. You will also prepare governance materials, maintain corporate records, support shareholder meetings, manage parallel filing workstreams, and improve filing processes through templates and checklists.

Requirements

• Hold a bachelor's degree, a paralegal certificate from an ABA-approved program, or equivalent experience
• Have 4–7 years of corporate, securities, or capital markets paralegal experience at a law firm, public company, financial services firm, or asset management firm
• Have direct hands-on experience preparing, coordinating, and filing Forms 10-K, 10-Q, and 8-K and Forms S-1 and S-3 through EDGAR
• Have hands-on experience supporting capital markets transactions, including closing mechanics and due diligence coordination
• Demonstrate project management experience independently managing complex filing timelines with multiple stakeholders and hard deadlines
• Possess working knowledge of Section 16 reporting, Rule 144, and public-company disclosure obligations
• Demonstrate exceptional attention to detail and discretion with confidential and material non-public information
• Possess strong written and interpersonal communication skills
• Possess strong organizational, multitasking, prioritization, and checklist-management skills
• Work independently with limited supervision, escalate appropriately, and collaborate effectively
• Preferably have proficiency with Workiva, Donnelley Active Disclosure, Diligent Boards, or Boardvantage
• Preferably possess advanced Microsoft Word, PowerPoint, and Excel skills
• Preferably be familiar with AI tools supporting legal workflows and efficiency
• Preferably have experience in crypto, fintech, or asset management or exposure to digital asset products

Responsibilities

• Coordinate the end-to-end preparation, review, and EDGAR filing of Forms 10-K, 10-Q, and 8-K and registration statements, amendments, and prospectus supplements
• Build and maintain the SEC filing calendar and track statutory deadlines, internal reviews, and sign-off requirements
• Draft, format, proofread, and tie out disclosure documents against financial statements, footnotes, exhibits, and XBRL tagging
• Manage exhibit lists, incorporation-by-reference checklists, and filing certifications
• Track and manage shelf registration statement eligibility and compliance
• Support capital markets transactions, including continuous offerings by exchange-traded funds
• Update and assemble registration statements and prospectus supplements
• Prepare and maintain closing checklists, signature pages, officer certificates, and closing sets
• Coordinate due diligence with underwriters, auditors, outside counsel, and other third parties
• Assist with roadshow logistics, board and pricing committee approvals, and post-closing filing obligations
• Prepare board and committee materials, resolutions, minutes, and consent actions
• Maintain corporate records, entity charts, and subsidiary governance documentation
• Support annual shareholder and investor meetings, including proxy-related materials
• Manage complex multi-workstream filings by setting timelines, assigning tasks, tracking open items, and driving stakeholders toward regulatory deadlines
• Identify filing lifecycle inefficiencies and implement process improvements, templates, and checklists