Associate - Securities Exchange Commission Filling

6 months 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

  • Microsoft Exchange Security Associate

    6 months ago

    Navi Mumbai, India Home Theater Store (India) Pvt. Ltd. Full time

    Manage and maintain the Office 365 environment, including Exchange Online, SharePoint Online, OneDrive, Teams, and other Office 365 components. - Provide technical support to end-users on hardware, software, and network issues, including desktop computers, laptops, printers, and other peripheral devices. - Configure and maintain Exchange Online, including...

  • Customer Service Associate @iifl Securities

    6 months ago

    Mumbai, Maharashtra, India IIFL Securities Full time

    **IIFL Securities is Hiring For Customer Service Associate.** Customer Service are a part of the company whose primary responsibility is to solve partners queries related to financial products via call. They are also responsible to achieve their daily & monthly targets. **Salary** **-** Upto 5 Lacs **Job Location -** Thane **Shift -** 9 hrs Day...

  • Associate - Securities Exchange Commission (Legal)

    6 months 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,...

  • Bde (Foreign Exchange)

    4 months ago

    Mumbai, Maharashtra, India Assignedge Network Pvt Ltd Full time

    **Key Responsibilities**: - **Business Development**: - Identify and pursue new business opportunities in the foreign exchange market. - Develop and implement strategies to attract new clients and expand the company’s client base. - Build and maintain relationships with potential and existing clients to understand their Forex needs and provide tailored...

  • Guest Service Associate

    6 months ago

    Mumbai, Maharashtra, India MoSahay Associate Full time

    The **Guest Service Associate (GSA)** is responsible for providing exceptional customer service to guests, ensuring their stay is memorable and pleasant. The GSA will handle all aspects of guest check-in and check-out, answer inquiries, and manage reservations. A background in hotel management is essential to understand the operational and service-oriented...

  • Business Associate

    6 months ago

    Mumbai, India Thincredblu Securities Pvt Ltd Full time

    **About the Company -** Thincredblu Securities is a discount brokerage house based in Mumbai and has been empowering retail investors across the country since 2006. We hold direct memberships to NSE, BSE, MCX & CDSL and cloak exchange turnovers of over 80,000 Crs. Our vision is to build a community of consistently profitable traders and our endeavor is to...

  • Exchange Administrator

    6 months ago

    Navi Mumbai, India 3i-infotech Full time

    **Designation : Exchange Server L2** **Salary**: 10-12 LPA **Location**: Navi Mumbai **Experience**: 4+ Years **Qualifications** : Any degree **Mandatory skills: Roles and Responsibility** Review of daily/weekly/monthly checklist - Event log analysis at regular interval for maintaining the integrity of servers - Repeat Incident / Alert Analysis -...

  • Compliance Officer Dp

    6 months ago

    Mumbai, Maharashtra, India SVCM Securities Private Limited Full time

    As a Compliance Officer at NSE, BSE, MCX & CDSL your primary responsibility will be to ensure that the organisation’s operations and activities adhere to regulatory standards, industry guidelines, and internal policies. You will play a critical role in maintaining the integrity of the exchange and upholding a culture of compliance. **Key...

  • Ventura Securities Software Developer

    1 month ago

    Navi Mumbai, Maharashtra, India Ventura Securities Ltd. Full time

    About Ventura Securities:We are seeking an experienced software developer to join our team at Ventura Securities. As a leading omnichannel trading and investment platform, we are committed to delivering innovative solutions that meet the evolving needs of our clients.Key Responsibilities:- Synthesize complex business problems into actionable developer...

  • Junior Associate

    4 weeks ago

    Vidyavihar, Mumbai, Maharashtra, India Thincredblu Securities Pvt Ltd Full time

    **About the Company -** Thincredblu Securities is a discount brokerage house based in Mumbai and has been empowering retail investors across the country since 2006. We hold direct memberships to NSE, BSE & CDSL and cloak exchange turnovers of over 80,000 Crs. Our vision is to build a community of consistently profitable traders and we endeavor to provide...

  • Relationship Associate

    6 months ago

    Mumbai, Maharashtra, India YES Securities LTD Full time

    **We Are Hiring For Relationship Associate in Yes Securi**ties **Company Profile**: Yes Securities (India) Limited is an **unlisted public company incorporated on 14 March, 2013**. It is classified as a public limited company and is located in Mumbai City, Maharashtra. It's authorized share capital is INR 200.00 cr and the total paid-up capital is INR 97.94...

  • Customer Servicing Executive

    6 months ago

    Mumbai, Maharashtra, India Yes Securities Pvt Ltd Full time

    **We Are Hiring FRESHER for Yes Securities as a Customer Servicing Executives !!!!** **About Us**: YES SECURITIES, a wholly-owned subsidiary of YES BANK, is one of the leading financial advisors in India, offering a gamut of services such as Investment Banking, Merchant Banking, Institutional and Equity Research, Institutional Sales, Portfolio Investment...

  • Company Secretary

    6 months ago

    Mumbai, Maharashtra, India Red brick Offices Full time

    Company Secretary - IPO Management (4-8 yrs) Roles and Responsibilities: A. Compliances under Companies Act 2013/ SEBI / LODR /ICDR guidelines: [mandatory] - Ensure compliance of the provisions of Companies Act, 2013, Secretarial Standards and rules made there under, SEBI (Listing Obligations and Disclosure Requirement) Regulations, 2015, SEBI (Prevention...

  • Company Secretary

    6 months ago

    Mumbai, Maharashtra, India Red brick Offices Full time

    Company Secretary - IPO Management (4-8 yrs) Roles and Responsibilities: A. Compliances under Companies Act 2013/ SEBI / LODR /ICDR guidelines: [mandatory] - Ensure compliance of the provisions of Companies Act, 2013, Secretarial Standards and rules made there under, SEBI (Listing Obligations and Disclosure Requirement) Regulations, 2015, SEBI (Prevention...

  • Guest Relation Executive

    6 months ago

    Mumbai, India MoSahay Associate Full time

    Supervision of Guest Assistance. - Execute all the guest relations activities to achieve maximum guest satisfaction index scores. - Provide training to staff on customer interaction, service standard and communication skills. - Adhering and inspecting the grooming standards of the staff and provide assistance in case if there is any gap. - In coordination...

  • Accounts Executive Preferred From Ca Firm

    6 months ago

    Fort, Mumbai, Maharashtra, India Vibrant Securities Pvt Ltd Full time

    **JD FOR ACCOUNTS EXECUTIVE** Vibrant Securities is a leading Mumbai based financial services company with proven expertise and offering services in Stock Broking, Derivatives, Mutual Funds, Securities Lending & Borrowing (SLB), Corporate Fixed Deposits and Stock Market Training to corporate, high net worth individuals and retail clients. Currently, we...

  • Accounts Executive Preferred From Ca Firm

    1 month ago

    Fort, Mumbai, Maharashtra, India Vibrant Securities Pvt Ltd Full time

    **JD FOR ACCOUNTS EXECUTIVE** Vibrant Securities is a leading Mumbai based financial services company with proven expertise and offering services in Stock Broking, Derivatives, Mutual Funds, Securities Lending & Borrowing (SLB), Corporate Fixed Deposits and Stock Market Training to corporate, high net worth individuals and retail clients. Currently, we...

  • Associate Dentist

    6 months ago

    Navi Mumbai, Maharashtra, India Dentop Dental care Full time

    DentOp Dental Care is looking to hire a Dentist for their Nerul clinic. The doctor should preferably have a minimum experience of 2 years and should be proficient in basic dental procedures like fillings, root canals, scaling and polishing and basic prosthetic treatments. We are looking for doctors with an attitude for learning and growth. There are...

  • Sales Commission Based

    6 months ago

    Pune, Maharashtra, India Vishwasya Technologiess Private Limited Full time

    **Location**: Remote **Type**: Commission-based About Chocobreeze: Chocobreeze is a leading provider of personalized chocolates for gifting, branding and food decoration. Chocobreeze is offering a wide range of customizable options for various occasions. We are seeking dynamic individuals to join our team as Affiliate Sales Associates. As an Affiliate...

  • Audit Associate

    4 weeks ago

    Mumbai, Maharashtra, India Shah Kapadia And Associates Full time

    **Job description** Company Overview: SHAH KAPADIA & ASSOCIATES (SKA) is one of the fastest-growing firms of Chartered Accountants in India, who has been prevailing at the forefront of auditing, compliance and consultancy services from last many years. The firm is a pioneer in the field of the securities market for process review, SEBI compliance...