Paralegal, Securities

2 months ago

Calgary, Canada Dentons Full time

Calgary, AB, CA- Nov 7, 2024

Dentons is designed to be different. Our firm leads the way in a rapidly changing legal marketplace. We challenge the status quo and deliver consistent results as well as uncompromising quality and value to our clients. Our global presence is renowned as a firm with over 21,000 individuals in more than 200 offices serving clients across 80+ countries.

Dentons Canada is committed to its people and communities. We are consistently recognized as an employer of choice having received numerous awards including being selected as one of Canada’s Top 100 Employers (2024); Canada’s Top Employers for Young People (2024), and Canada’s Best Diversity Employers (2024).

This role is an opportunity for you to join the world’s largest law firm, a firm that offers opportunities to build your career while growing your skills and deepening your expertise.

***

**RESPONSIBILITIES**
- Providing assistance in corporate finance (prospectus and private placement offerings), registrant regulation (clients registered as advisers, dealers, investment fund managers or relying on a registration exemption), and securities compliance work with the securities commissions and stock exchanges;
- Reviewing and maintaining list of reporting issuers for interim and annual financial filings;
- Preparing documents in connection with issuer prospectus and private placement offerings, as well as continuous disclosure documents in connection with ongoing issuer reporting and disclosure requirements;
- Preparing monthly reminders to the applicable lawyer or client in connection with SEDI filings for NCIB transactions;
- Communicating with the regulators on offering and continuous disclosure matters;
- Reviewing and providing comments on prospectuses, prospectus supplements and related documents;
- Reviewing investment fund documents e.g. Preliminary, Pro Forma or Final Simplified Prospectuses, Fund Facts, auditor consent letters, certificate of proceeds, etc.;
- Preparing documents in connection with investment fund prospectus renewals, fund additions or terminations, and continuous disclosure obligations;
- Completing the registration of Exempt Market Dealers, Portfolio Managers, Investment Fund Managers and the individuals with the securities commissions;
- Overseeing process for changes to or adding additional categories or jurisdictions to registered firms including coordinating extra-provincial registrations, insurance, preparing and signing of documents with clients and securities commission and NRD filings;
- Preparing and filing notices with the securities commissions regarding changes to registered/exempt firm and individual’s previously filed information and permanent records;
- Reviewing and maintaining various lists of registered and exempt firm clients and providing updates to lawyers and clients regarding changes in the legislation impacting these clients;
- Coordinating and filing documents with the securities commissions and stock exchanges utilizing SEDAR+, SEDI, NRD, the OSC eFiling Portal, TMX Linx, TSX Venture Exchange and the CSE Portal;
- Creating and maintaining SEDAR+ agreements and profiles;
- Requesting NOBO lists and Share Range Reports from transfer agents;
- Providing reporting issuer trading data and VWAP for Annual Information Forms and Information Circulars utilizing QuoteStream;
- Submitting press releases to CIRO for vetting and disseminating press releases through various newswire services;
- Preparing ancillary materials for corporate finance transactions (cover letters, Early Warning Reports, Exempt Distribution Reports, press releases, Material Change Reports, etc.);
- Managing and coordinating continuous disclosure, insider reporting and other filings to be made with the securities commissions and stock exchanges;
- Preparing corporate documents with respect securities-related matters, including board and shareholder resolutions, forms;
- Conducting research for lawyers and potential clients and preparing memorandums regarding same;
- Reviewing changes to securities laws and various stock exchanges’ compliance manuals from securities regulators and stock exchanges and providing updates to team;
- Coordinating with clients, lawyers and regulators through the course of a file and reporting on status of matters;
- Conducting searches of public company information through SEDAR+, the CSA Database, Intelligize and QuoteStream;
- Mentoring and training of team members

**REQUIREMENTS**
- Experience in a professional services firm is required;
- A minimum of 8+ experience working within the Corporate Records/Securities practice area is required;
- Paralegal diploma an asset;
- A high level of accuracy, attention to detail and time management skills;
- Demonstrates a team approach and supports colleagues;
- Ability to work in fast-paced environment and manage multi-priorities to meet necessary deadlines;
- Communicates in a clear and precise manner;
- Advanced computer skill

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