Senior Paralegal

Financial Engines has an immediate opening at our Sunnyvale, CA location for a paralegal to assist with all SEC reporting and corporate governance matters. We are looking for an individual who can take on responsibility, organize and drive multi-step projects through to completion, and be a valued member of our legal and compliance team. The ideal candidate will have five or more years of experience, ideally with law firm training as well as substantive paralegal experience with a public company.  The paralegal reports to the Associate GC, Corporate Governance. 
 
Primary responsibilities:

  • Assist with preparation of Board and Committee meeting materials in BoardVantage, including agendas and minutes.
  • Assist attorneys with securities filings such as Form 10-Qs, 10-Ks, 8-Ks through the Active Disclosure tool; maintain backup files.
  • Word processing as needed, document organization in Sharepoint.
  • Manage quarterly 10b5-1 plan process, preclearance, and notification of open trading windows.
  • Prepare, distribute and coordinate annual D&O questionnaires.
  • Work with equity manager and transfer agent to coordinate all mechanical aspects of Annual Meeting and Proxy, including mailing, voting, and script.
  • Coordinate annual Board and Committee self-assessment process.
  • Assist with maintenance of the corporate records and Board documentation.
  • Complete subsidiary, state and foreign annual and other filings; oversee CSC relationship.
  • Conduct legal research as needed.
  • Special projects and other duties as requested.


 
Skills and Qualifications:

  • Minimum 5+ years experience; both law firm and public company in-house experience desired.
  • Paralegal certificate.
  • Knowledge of basic public company corporate governance processes.
  • Experience with Board of Directors meetings and materials.
  • Hands-on work with SEC Form 8-K, 10-Q and 10-K filings.
  • Ability to calendar projects and manage them to completion within a deadline.
  • Proficiency withBoardVantageSharepoint, Active Disclosure, Microsoft Office, Powerpoint, & Excel.
  • Able to adjust hours and occasionally work overtime as needed to attend meetings or complete projects.
  • Keen attention to detail and organization.
  • Impeccable written and oral communication skills, including ability to effectively work with various departments and levels within Financial Engines.
  • Strong process and knowledge management skills.
  • Project management experience a plus.
  • Excellent judgment and delivery-oriented attitude. 
  • Sense of humor, professional work ethic and teamwork.
  • Understanding of legal research methodologies.
  • Unquestioned discretion handling confidential information.
  • Excellent academic credentials.
  • Must have the ability to fluently speak, read, write, and understand the English language.
  • BA or equivalent from an accredited college or university.
  • Local candidates preferred. Due to the confidential nature of the information handled, services will be performed on site at our Sunnyvale offices.

    About Financial Engines

    Financial Engines is America’s largest independent investment advisor1. We help people achieve greater financial clarity by providing comprehensive financial planning and professional investment management and advice. Headquartered in Sunnyvale, CA, Financial Engines was co-founded in 1996 by Nobel Prize-winning economist William F. Sharpe. We currently offer financial help to more than 9.5 million people across over 700 companies (including 146 of the Fortune 500). Our unique approach, combined with powerful online services, dedicated advisors and personal attention, promotes greater financial wellness and helps more Americans to meet their financial goals.

    For more information, please visit www.financialengines.com.

    All advisory services provided by Financial Engines Advisors L.L.C. Financial Engines does not guarantee future results.

    1 For independence methodology and ranking, see InvestmentNews Center (http://data.investmentnews.com/ria/).


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