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Litigation/ Regulatory Paralegal!

R & W Group seeks an experienced Regulatory/SEC Paralegal on behalf of our large law firm client in DC to join the firm’s Regulatory and Securities Enforcement group. This paralegal position will work with the attorneys by working on all aspects of regulatory work, including assisting with research, drafting documents, preparing filings, and other tasks within the group. The position will require overtime and may involve some travel.

Duties and Responsibilities:

  • Mainly responsible for all of the cite checking assignments for the Securities & Derivatives Enforcement and Regulatory group

  • Ability to prioritize and manage multiple assignments under tight deadlines

  • Excellent written and oral communication skills

  • Strong research skills

  • Experience with proof reading

  • Edit and format written submissions using Word styles

  • Manage electronic and hard copy documents through litigation technology

  • Legal and factual cite checking including the ability to Shepardize and Blue Book a brief

  • Thorough understanding of court rules and filing requirements

  • Knowledge of Lexis-Nexis, Westlaw and internet search engines for research purposes

  • Knowledge of SEC, FINRA, CFTC and N4SE

  • Supervise project assistants and temporary staff

  • Preparing, reviewing, formatting and filing reports with the SEC

  • In particular, experience with reports required under Section 13(d), 13(f), 13(g), 13(h) and/or Section 16 of the Securities Exchange Act of 1934 preferred

  • Generating SEC filing codes for individuals and entities

  • Preparing Rule 16b-3 Board / Comp Committee resolutions for public companies

  • Identifying, analyzing and calculating potential short-swing profit liability under Section 16(b) and preparing responses to Section 16(b) demand letters

  • Researching and analyzing novel legal questions pertaining to SEC beneficial ownership filing requirements and preparing memoranda concerning such advice


Education and/or Experience:


  • Bachelor’s degree

  • Proficient at Microsoft Office applications


  • Three to ten years of paralegal experience at a medium or large law firm

  • Experience working in securities/regulatory practice

Other Skills and Abilities:

In addition to the above, the following may also be required of the successful candidate:

  • Experience working in securities/regulatory legal practice

  • Excellent organizational skills

  • Excellent attention to detail

  • Strong sense of good judgment

  • Well-developed analytical and problem solving skills

  • Works harmoniously and effectively with others as part of a team

  • A self-starter who desires to show ownership and commitment to the job

  • Exercises confidentiality and discretion

  • Strong proofreading skills

  • Strong PowerPoint skills

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