Investment Management Paralegal - Institutional & 40 Act

  • Competitive
  • New York, NY, USA
  • Permanent, Full time
  • Morgan Stanley USA
  • 23 Oct 18

Investment Management Paralegal - Institutional & 40 Act

Morgan Stanley is a leadingglobal financial services firm providing a wide range of investment banking, securities, investment managementand wealth management services . The Firm's employees serve clients worldwide includingcorporations, governments and individuals from more than 1,200 offices in 43 countries.

As a market leader, the talent and passion of our peopleis critical to our success . Together, we share a common set of values rooted in integrity, excellenceand strong team ethic . Morgan Stanley can provide asuperior foundation for building a professional career - a place for people to learn,to achieve and grow . A philosophy that balancespersonal lifestyles , perspectives and needs is an importantpart of our culture .

We are currently seeking a paralegal to support Morgan Stanley Investment Management Inc.'s Institutional Asset Management Group. This is a dynamic position with broad responsibilities, ideal for a motivated, self-starting professional willing to dive in to a number of new and challenging projects.

Primary Responsibilities Include:

  • Assisting in preparing, revising, gathering, distributing and coordinating review of various documents relating to institutional client accounts (e.g., investment management agreements, guidelines, policies, etc.) and unregistered (private) funds (e.g., offering memoranda, subscription agreements, limited partnership agreements, etc.)
  • Corresponding with internal client contacts regarding gathering of all applicable forms and materials in connection with the client take-on process and obtaining information to satisfy regulatory reporting obligations
  • Completing various forms and documents pertaining to the business terms of investment management agreements and private funds
  • Assisting with various firm reporting obligations and audit requests
  • Maintaining central database of client contracts, fund documents, NDAs, and similar agreements
  • Assisting with contract compliance procedures for all agreements entered into by MSIM
  • Preparing Secretary and Assistant Secretary Certificates, creating closing binders and updating and maintaining client files
  • Working with external counsel to maintain and update corporate records (e.g., appointment of officers and directors)
  • The candidate must have the ability and desire to take on and effectively prioritize multiple projects
  • Ability to manage a fast paced environment while meeting strict deadlines

Secondary Responsibilities Include:
  • Partner with attorneys and other legal staff to prepare SEC filings and other materials in connection with the requirements of the Securities Acts of 1933 and 1934, and the Investment Company Act of 1940
  • Prepare and review initial, annual, and amended registration statements which include statutory prospectuses, summary prospectuses and statements of additional information
  • Prepare and review additional filings including: shareholder proxy statements, XBRL filings, prospectus & SAI supplements, and other mutual fund and securities-related SEC submissions
  • Prepare and draft various corporate documents for entity formation and maintenance of Funds
  • Gather and prepare documentation for Fund Board meetings
  • Collaborate with legal and marketing staff, other internal departments, and external auditors on registration statements
  • Assist in preparation of minutes, consents, corporate documents and filings
  • Maintain corporate and compliance files
  • Research questions on mutual funds and other securities-related/corporate matters
  • Assist with special projects as needed
  • Provide coverage for teammates as needed


  • Significant working knowledge of or [2 - 5] years of related experience in the Asset Management Industry
  • Bachelor's degree
  • Proficiency in Word, Excel and Outlook a must
  • Excellent oral and written communication skills and the ability to explain complex information clearly and simply
  • The ideal candidate should be highly motivated, organized and have excellent problem solving skills
  • Must be a team player with the ability to also work independently
  • Ability to represent the firm professionally with internal colleagues and external counsel/clients
  • Prior experience as a paralegal at a law firm or large in-house legal department, or in a corporate finance/hedge fund/asset management setting, is preferred.