Senior Corporate and SEC Paralegal

$120,000 - $140,000/Yr

Cantor Fitzgerald - New York, NY

Full-time - Mid Level

New York, NY

10,001+ employees

Securities, Commodity Contracts, and Other Financial Investments and Related Activities

About the position

Cantor Fitzgerald L.P. is seeking an experienced Senior Corporate and SEC Paralegal to join our team in Midtown NYC. This role is pivotal in supporting our legal and accounting departments by preparing, managing, and filing periodic reports with the SEC. The ideal candidate will have a strong background in corporate law and SEC compliance, with the ability to communicate effectively with senior executive officers and outside directors. The position requires a proactive approach to coordinating and scheduling board and committee meetings, as well as the company's annual shareholder meeting and other significant events. The Senior Corporate and SEC Paralegal will also be responsible for maintaining corporate books and records, managing board payments, and overseeing stock, RSU, and other equity issuances. Attention to detail, superior organizational skills, and a strong sense of urgency are essential for success in this role. In addition to the core responsibilities, the candidate will prepare and assist with public filings, including forms 10-K, 10-Q, 8-K, proxy statements, and Forms 3, 4, 5, 13D/G. The role involves drafting minutes and board materials, maintaining public company minute books, and managing director and officer incentive equity information. The Senior Corporate and SEC Paralegal will also oversee the management of the company's code of ethics and ESG processes, ensuring that policies and procedures are up to date. This position may also involve assisting with share issuances, drafting letters and opinions for stock transfer agents, and communicating with various state and local agencies. The candidate may also engage in general corporate paralegal responsibilities, including handling non-disclosure agreements, forming new legal entities, and maintaining corporate resolutions and records. The role is deadline-driven, particularly during busy SEC filing seasons, which may require after-hours work. Candidates with previous in-house corporate experience or financial industry experience will be preferred, along with a solid understanding of SEC filings. A Paralegal Certification and/or Bachelor's Degree is required for this position.

Responsibilities

• Prepare, manage, and file periodic reports with the SEC.
• Communicate and coordinate with senior executive officers and outside directors.
• Schedule and organize board and committee meetings, as well as the company's annual shareholder meeting.
• Draft minutes and board materials, maintaining public company minute books and board records.
• Manage director and officer incentive equity information and maintain director payment records.
• Oversee the management of the code of ethics and ESG processes, including drafting and updating company policies and procedures.
• Coordinate information and responses from various departments within the company.
• Assist with share issuances, including drafting letters and opinions for stock transfer agents.
• Engage in general corporate paralegal responsibilities, including handling non-disclosure agreements and forming new legal entities.

Requirements

• Strong communication skills.
• Computer proficiency in MS Word, Excel, and PowerPoint; familiarity with blacklining programs and document management.
• Knowledge of board portal programs like Diligent for assembling and maintaining board materials.
• Experience with Workiva for SEC filings is useful.
• Excellent writing and grammar skills are required.
• Previous in-house corporate experience and/or financial industry experience is preferred.
• Experience with SEC filings is required.
• Paralegal Certification and/or Bachelor's Degree is required.

Nice-to-haves

• Experience with mergers and acquisitions transactions.
• Familiarity with data rooms and similar matters.

Benefits

• Competitive salary range of $120,000 - $140,000.
• Discretionary bonuses and other short- and long-term incentives (e.g., deferred cash, equity).
• Comprehensive benefits package.