Associate - Securities Exchange Commission Filling

4 weeks ago

Mumbai Maharashtra, 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.
- Legal Writing and Editing: Experience writing and editing complex legal documents along with expert level grammar skills
- 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.
- Strong analytical skills including the ability to analyze financial data (like prospectuses and understanding of fees/expenses) in addition to legal documents.
- Attention to detail is paramount: Even minor details like font, spacing, placement of commas.
- Understanding Proofing jargon; familiarity with Word proofing; Line proofing; Paragraph proofing; and Page Proofing with ability to swiftly adapt to specific proofing approach based on client instruction.
- Keeping track of action items and following up with the point of contacts appropriately for pending items.
- Prioritize the registration updates based on the finalized/approved filing schedule and provide heads-up and/or follow-up with the required working group so as to avoid any delays and missing interim filing deadlines.
- Identify and spot out exceptional items in registration statements (Prospectus;) in comparison with prior year filings of the client accounts and by contextual inference.
- Ability to explore SEC Filing websites; various non-TIAA Fund accounts that are part of client account filings.
- Familiarize with gleaning/skimming through prospectus summary; registration statements; and Exhibits to identify the required fund details quickly and accurately.
- Provide meticulous analysis and provide the most updated information that are agreed by a larger group and discerning those updates that are still at moot.
- Ability to coordinate tasks that involve multivarious working groups like Legal; Finance; Investment Specialists; and other associated product groups and categorize the various working groups and their associated responsibilities by using a “Review Responsibilities Report”

**Responsibilities**:

- Support regulatory and non-regulatory filings, per guidance provided.
- Review and proofread marketing reviews, learning and development materials, participant disclosures.
- Provide filing assistance to be rendered by meticulous analysis and providing the most up to date information as agreed upon by a larger group.
- Draft intercompany agreements, annuity contracts, third party agreements.
- Carrry out research activities on product distribution issues and various retirement plan issues.
- Keep track of voluminous action items and proactively follow up with the point of contacts appropriately for pending items.
- Prepared to work and provide U.S. Daytime support (including attending meetings, making phone calls) to meet critical deadlines as requested
- Provide prompt reply/acknowledgement to the Reviewers/Working group.

Management/Leadership Responsibility: Is management of people a primary focus of the role? If so, how many direct and indirect employees are managed? Do any of them manage a function or process?

Will serve mainly as an individual

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