Legal Operations Associate, Regulatory Filings, Compliance
VC Lab
full-time
Posted on:
Location Type: Remote
Location: Remote • 🇺🇸 United States
Visit company websiteSalary
💰 $85,000 - $115,000 per year
Job Level
JuniorMid-Level
About the role
- Prepare and coordinate regulatory filings for private investment funds, including: SEC Form ADV (initial filings and amendments), SEC Form D filings and amendments, Blue Sky filings and state notice filings
- Manage regulatory deadlines, filing calendars, and compliance tracking
- Perform quality assurance review of all filings prior to submission
- Coordinate investor questionnaires, signatures, and required disclosures
- Work directly with external fund counsel and filing agents
- Ensure compliance with securities regulations and UPL boundaries
- Support venture capital fund formation and governance processes
- Prepare fund formation and governance documents from approved templates
- Assist with entity management and ongoing fund maintenance
- Support AML/KYC processes and investor onboarding workflows
- Track investor and fund data required for regulatory compliance
- Maintain and update SOPs and templates for regulatory and fund workflows
- Support internal reporting and regulatory dashboards
- Partner with Product and Engineering teams on workflow automation
- Participate in relevant fund pipeline and operations meetings
Requirements
- 3–7 years experience as a fund paralegal or corporate paralegal
- Direct experience with private funds, venture capital, or securities law
- Hands-on experience with Form ADV, Form D, and/or Blue Sky filings
- Experience performing substantive legal work under attorney supervision
- Strong understanding of Unlicensed Practice of Law (UPL) boundaries
- High attention to detail and comfort managing multiple deadlines
- Strong written and verbal communication skills
- Ability to work independently in a fast-paced, remote environment
Benefits
- Medical and dental coverage
- 401K benefits
- Flexible PTO and generous holiday schedule
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
regulatory filingsSEC Form ADVSEC Form DBlue Sky filingsquality assurance reviewfund formationgovernance documentsAML/KYC processescompliance trackingworkflow automation
Soft skills
attention to detailtime managementwritten communicationverbal communicationindependenceorganizational skillsability to manage multiple deadlines