Prepare mutual fund disclosure filings with the SEC. Prepare mutual fund service provider contracts.

• Provide business management and governance services to investment adviser and mutual fund clients.• Offer guidance to clients with respect to securities regulations and industry best practices.• Coordinate oversight, communication and reporting among service providers, including investment adviser, administrator, accountants, lawyers, and others.• Maintain annual board calendar, prepare board materials, record minutes at board meetings, and coordinate communication with the board for mutual fund clients.• Coordinate new product registration statements, subsequent updates, and other regulatory filings based on annual regulatory calendar.• Coordinate fund agreements and other legal documents and maintain fund records.• Coordinate and assist with trustee and officer questionnaires.• Assist with state registration (Blue Sky) administration issues.• Serve as fund officer.• Coordinate and assist with shareholder meetings.

• Researched and analyzed legal issues regarding the sale of insurance products and investment advisory and related fiduciary issues under applicable laws, regulations, and departmental guidance.• Drafted legal opinions, agreements, amendments, termination notices, and correspondence for investment advisory services and for the distribution of insurance products.• Reviewed and updated disclosure documents for advisory programs and unregistered investment products.• Monitored pending and adopted regulations, case law, and SEC enforcement actions impacting NF business lines.• Recorded minutes at business committee meetings.• Conducted research for and provided support to NF large scale projects including: banking, life insurance, annuity suitability, gifts to public officials, and multi-state unclaimed property audit.• Supervised paralegal staff during manager’s maternity leave.• Negotiated mutual fund participation and Rule 22c-2 agreements.• Developed manual for negotiating agreements with external mutual fund partners.• Collaborated with IT staff to develop a contract management database.

• Created business entity documents and maintained minute books for 140+ entities.• Drafted loan documents and closing bibles for a $26 billion bank and for the SBA.• Prepared SEC forms for reporting of sale of securities.

• Prepared board materials for 7 registered investment companies and recorded minutes at board of directors’ meetings in 3 states.• Created and filed registration and proxy statements with the SEC for 6 companies.• Played a key leadership role in the development/coordination of client services.

• Assisted bankruptcy counsel with Chapter 11 proceedings for a public corporation.• Drafted pleadings and corporate documents, including distribution agreements.

• Organized and monitored data rooms and subsequently prepared schedules to purchase agreements and assignments of contractual interests for dispositions.• Drafted corporate resolutions and maintained minute books for 10 companies.

Corporate/Real Estate Paralegal

Litigation Paralegal