- San Mateo, CA, USA
- Permanent, Full time
- Franklin Templeton Investments
- 23 Feb 18 2018-02-23
At Franklin Templeton Investments, we are dedicated to delivering strong results and exceptional service to clients, team members and business partners. Over 9,000 employees working in 60 offices around the world are dedicated to servicing investment solutions for our clients in more than 150 countries. For over 65 years, our success has been a direct result of the talent, skills and persistence of our people, and we are looking for qualified candidates to join our team.
The Senior Paralegal/Legal Analyst, Regulatory Compliance and Alternative Investments would be responsible for advisory regulatory filings of the organization, including Form ADV, CFTC filings, and state notice filings. This would involve the high-level oversight of the regulatory filing process, creation and drafting of practice notes and procedures, and independent analysis of legal issues. In addition, this position would oversee the maintenance of the private fund corporate governance books, support fund board meetings and assist with fund formation.
- Independently drafting and filing Form ADVs with the SEC; creation of procedures and practice notes; responding to questions posed to the Form ADV mailbox, including substantive questions that require research and analysis; administration of Disciplinary Event Questionnaire process, including analysis of responses.
- Filing and support for CFTC filings and maintenance of the CTA compliance process.
- Other regulatory filings, including Form D and state notice filings.
- Support of alternative investment products, including: fund formation, Cayman Island registration, corporate governance, board support, and drafting of resolutions and other ancillary documents.
Ideal candidates will have:
Education & Experience:
- Bachelor's degree or equivalent training
- 5+ years as a paralegal or compliance analyst
- 3-5 years of experience with regulatory filings or other corporate paralegal experience
- Paralegal certificate desirable, but not required
- Experience as a corporate paralegal in a law firm desirable, but not required
- Critical thinking and analytical skills
- Ability to work independently
- Excellent verbal and written communication skills
- Strong attention to detail
- Ability to interact with senior management on a regular basis
- Advanced knowledge of business desktop applications ( i.e. , Microsoft Word, Excel, PowerPoint, Access & Project, Windows, Visio, etc.) required
What makes Franklin Templeton Investments unique?
In addition to the dynamic and professional environment at Franklin Templeton, we strive to ensure that our employees have access to a competitive and valuable set of Total Rewards -the mix of both monetary and non-monetary rewards provided to you in recognition for your time, talents, efforts, and results.
Highlights of our benefits include:
- Three weeks paid time off the first year
- Medical, dental and vision insurance
- 401(k) Retirement Plan with 75% company match, up to the IRS limits
- Employee Stock Investment Program
- Tuition Assistance Program
- Purchase of company funds with no sales charge
- Onsite fitness center and recreation center
- Onsite cafeteria
We are also committed to your learning and development with resources focused around Experience, Exposure, and Education, to help you achieve your professional development goals. Take some time to, meet some of our people , and see what it means to say, "I AM Franklin Templeton".
Franklin Templeton Investments is an Equal Opportunity Employer. We invite you to visit us at http://www.franklintempletoncareers.com/ to learn more about our company and our career opportunities.