Greater Pittsburgh Region
Paralegal with a demonstrated history of working in the Legal Services industry. Skilled in Mergers & Acquisitions (M&A), Corporate Governance, Board Governance, Due Diligence, and Contract Negotiation.
- Lead legal and regulatory support for a multi-series ETF platform governed by the Investment Company Act of 1940. - Coordinate and oversee SEC regulatory filings across the ETF platform, including Form N-1A amendments, Rule 485 filings, proxy materials, and prospectus and SAI updates. -Support ETF product development and maintenance, including launches, reorganizations, liquidations, and strategy changes, partnering with product, compliance, operations and external counsel. -Review and lifecycle management of investment advisory and sub-advisory agreements, fee schedules and related amendments. -Assist in review of board materials including Section 15(c) documentation. - Serve as a central point of coordination for internal stakeholders and external service providers to ensure timely, consistent and compliant execution of fund-related initiatives.
*Preparation of board and committee meeting agendas, presentations, resolutions, consents, minutes and other materials. *Draft and file entity formations, conversions and dissolutions. *Assist with mergers and acquisitions, including providing due diligence support, data room management, and drafting and organizing deal documents and post-closing documents. *Assist with the preparation and filing of Form ADV with FINRA. * Review and provide comments to mutual fund documents including prospectuses, statements of additional information, and annual and semi-annual reports. * Review and provide comments to subscription agreements, organizing and tracking of limited partner's investments s and manage closing. * Manage and complete SEC filings including obtaining EDGAR access codes and Form D. *Prepare and complete blue sky filings.
-Manage the process of SEC filings for Directors and Officers. - Maintain official records for all stock plan awards. -Manage Director compensation, including payment of fees, equity awards and deferrals. -Draft Board and Committee meeting minutes. - Prepare resolutions for the company and its subsidiaries. -Provide support for and assist with due diligence during mergers and acquisition, corporate filings, lien searches, closings and transaction records. - Conduct initial review of contracts with vendors; assist attorney with revisions and negotiation of same. -Prepare drafts of legal documents for review and revision by General Counsel and Assistant General Counsel. -Serve as Assistant Secretary for the Company and subsidiaries. -Handle incorporation and entity formation and dissolution including reserving names, drafting organizational documents, -Manage the process for preparation of the annual proxy statement, including preparing annual calendar and first draft of proxy statement, revising proxy statement for updates, preparing stock ownership tables and narrative and calculating dates for submissions, - Assist with SEC filings such as 8-Ks, 10-Qs, 10-Ks. - Assist with compliance functions, including preparation of training materials and policies, and administering ethics hotline. -Manage Law Department billing function. - Manage Law Department records. - Prepare Law Department budget for General Counsel. - Handle shareholder inquiries in coordination with Investor Relations.
-Attend monthly Claims Committee Meeting and prepare draft minutes for General Counsel review. -Create, circulate and tabulate year-end Subscriber Meeting proxy ballot; prepare draft minutes for General Counsel review. -Enter incident and claim reports into claims management system. -Complete NPDB, MCARE, NYSDOH, and WV Medical Board filing submissions. -Maintain and update various claims matrices tracking databases. -Maintain trial calendar. -Complete and respond to credentialing requests. -Enter legal expense invoices into claims management system; monitor reserves and self insured retentions. -Prepare Member financial correspondence as needed.