Associate - Securities Exchange Commission (Legal)

3 weeks ago

Mumbai, India TIAA Full time

The Legal Support job conducts legal research (e.g., due diligence, case and factual research, responding to queries and investigations, preparing summary reports, etc.) to support the organization's law related initiatives and/or matters. This job assists corporate attorneys and senior paralegals with maintaining files, databases and systems to collect, store, and review data on litigation, agreements, opinions, and other legal documents. Working under general supervision, this job reviews and edits legal documents (e.g., contracts, agreements, pleadings, business communications, etc.) to ensure accuracy and completeness.

Key Responsibilities and Duties
- Assists corporate legal attorneys and senior paralegals in resolving routine legal issues.
- Gathers and analyzes legal research such as statutes, regulations, decisions, case filings, articles and other documents, under the supervision of corporate legal attorneys.
- Keeps track of, prepares and files federal and/or state regulatory filings in a timely and accurate manner.
- Reviews and edits legal documents (e.g. contracts, agreements, pleadings, business communications, etc.) to ensure accuracy and completeness.
- Processes, analyzes, and summarizes more complex legal proceedings for attorneys.
- Monitors and analyzes legislative/regulatory developments that affect the company's products and services.
- Coordinates with business partners, outside counsel, and other vendors as needed to obtain and provide needed information, manage litigation, and handle other legal filings and projects.
- Reviews corporate documents for compliance with regulatory guidelines.

Educational Requirements
- University (Degree) Preferred

Work Experience
- 2+ Years Required; 3+ Years Preferred

Physical Requirements
- Physical Requirements: Sedentary Work

Career Level

6IC
- Securities Laws Knowledge: Basic understanding of securities regulations and rules.
- Analytical Skills: Strong analytical skills including the ability to analyze financial data (like prospectuses and understanding of fees/expenses.
- Legal Writing and Editing: Experience writing and editing complex legal documents along with expert level grammar skills.
- Attention to detail: Even minor details like font, spacing, placement of commas. Identify and spot out exceptional items in registration statements (Prospectus, etc.) in comparison with prior year filings of the client accounts.
- Ability to coordinate with both internal and external partners, build relationships
- Knowledge in using the tools in Word document and PDF for editing, commenting, tables insertion, header/footer edits, Superscript edits, organize pages, track changes, etc.

**Responsibilities**:

- Support regulatory and non-regulatory filings, per guidance provided.
- Reviewing and proofreading of marketing reviews, learning and development materials, participant disclosures.
- Legal writing and editing. Proofreading, attention to details.
- Filing assistance should be rendered by meticulous analysis and providing the most updated information that are agreed by a larger group.
- Drafting of intercompany agreements, annuity contracts, third party agreements, negotiated language in recordkeeping service acquisition agreements.
- Carrrying out research activities on product distribution issues.
- Carrying out research on state laws and federal tax laws on various retirement plan issues.
- Keeping track of action items and following up with the point of contacts appropriately for pending items.
- Follow up on key deliverables to meet mission critical deadlines.
- May need to work and provide U.S. Daytime support to meet critical deadlines.
- Attend meetings (U.S. Daytime) with the working group.
- Send regular updates (U.S. Daytime) per the work requestor’s advice; Raise questions at apt time.
- Prompt reply/acknowledgement to the Reviewers/Working group.
- Build relationships with relevant stakeholders.

Will serve mainly as an individual contributor. The role will report to a senior member of the legal team

Understanding and knowledge of insurance industry/ annuity products. Experience in the financial services industry will be an added advantage

Good oral and written communication and negotiation skills.

Ability to work across teams in India and US

Experience in providing support with SEC filing in the financial services industry

Related Skills

Adaptability, Communication, Consultative Communication, Continuous Improvement Mindset, Detail Oriented, Ethical Conduct, Legal Administration

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Company Overview

TIAA GBS India was established in 2016 with a mission to tap into a vast pool of talent, reduce risk by insourcing key platforms and processes, as well as contribute to innovation with a focus on enhancing our technology stack. TIAA GBS India is focused on building a scalable and sustainable organization, with a focus on technology, operations and expanding into the shared servi

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