Job Description Summary

Under general supervision, uses knowledge and skills obtained through experience, training, and certification to perform a variety of corporate and regulatory support activities, including entity management, SEC Section 16 reporting, and Federal Reserve entity reporting for Raymond James and its subsidiaries. Activities include corporate governance and entity management encompassing consents, director/officer updates, and state filings, administering and updating a database (hCue) containing information relating to over 100 Raymond James subsidiaries, maintaining and reporting of Insider holdings to the SEC (Section 16), and Federal Reserve entity reporting (FR Y-10). Guidance is provided to perform varied work that is somewhat difficult in nature, requiring some evaluation, originality and ingenuity to make moderately complex decisions. The Corporate Governance Paralegal is part of a team of paralegals performing these activities. Regular contact across the Raymond James organization and business lines, regulatory agencies, and external service providers is required to identify, research and resolve problems.

Job Description

Job Summary:

Under general supervision, uses knowledge and skills obtained through experience, training, and certification to perform a variety of corporate and regulatory support activities, including entity management, SEC Section 16 reporting, and Federal Reserve entity reporting for Raymond James and its subsidiaries. Activities include corporate governance and entity management encompassing consents, director/officer updates, and state filings, administering and updating a database (hCue) containing information relating to over 100 Raymond James subsidiaries, maintaining and reporting of Insider holdings to the SEC (Section 16), and Federal Reserve entity reporting (FR Y-10). Guidance is provided to perform varied work that is somewhat difficult in nature, requiring some evaluation, originality and ingenuity to make moderately complex decisions. The Corporate Governance Paralegal is part of a team of paralegals performing these activities. Regular contact across the Raymond James organization and business lines, regulatory agencies, and external service providers is required to identify, research and resolve problems.

Responsibilities:

• Perform various corporate governance/entity management activities relating to Raymond James domestic and international subsidiaries; including reporting, consents and resolutions, officer and director updates, state filings, and corporate formations and dissolutions.

• Obtain signatures for corporate documents in-person and through e-signature platforms.

• Maintain the entity management database (hCue) that contains relevant information regarding all Raymond James subsidiaries; ensures the accuracy and completeness of the database.

• Provide general support to attorneys and assist with other related duties as required.

• Part of the team responsible for Federal Reserve entity reporting (FRY-10) relating to Raymond James subsidiaries, as well as an annual review and confirmation process for annual (FRY-6) Federal Reserve reporting.

• Part of the team responsible for SEC Section 16 reporting and filing for Raymond James Insiders.

• Coordinate outside services and acts as a liaison with third party providers, including current vendor, CT Corporation, responsible for entity management database system and state filings.

• Maintain and contribute to a library of preapproved documents, including consents and resolutions, templates and historical documents, and revises materials as needed.

• Support Corporate Secretary with matters relating to corporate governance.

• Follow policies and procedures relating to areas of responsibilities (entity management, corporate governance, and Federal Reserve reporting).

• Promote effective work practices and work as a team member.

• Maintain currency in paralegal practices and methodologies.

• Operate standard office equipment and use required software applications.

• Perform other duties and responsibilities as assigned.

Knowledge of:

• Laws, legal codes, precedents, and government regulations.

• Fundamental business practices and concepts that impact the success and profitability of the firm.

• General concepts, practices and procedures of corporate paralegals.

• Corporate governance and entity management, including consents and resolutions, formation and dissolution of legal entities, and applicable state filings, as well as administration of an entity management database is required.

• General principles of banking and finance and securities industry operations is preferred.

• Federal Reserve entity reporting requirements for a bank holding company (FRY-10, FRY-6) is preferred.

• SEC Section 16 filing including Form ID, Form 3, Form 4, and Form 5 is preferred.

Skill in:

• Legal research and analyzing facts and information, and resolving problems as they arise

• Corporate governance and entity management, preferably working with an organization with substantial number of legal entities.

• Administering an entity management database (hCue) or equivalent skill.

• Communicating with regulators/state authorities in connection with corporate governance/entity management responsibilities.

• Assisting legal counsel in connection with various corporate governance activities (e.g., mergers, dissolutions, formations).

• Project management and calendaring.

• Operating standard office equipment and using required software applications.

Ability to:

• Maintain confidential information.

• To establish and maintain effective working relationships.

• Maintain professional currency.

• Use analytical and critical thinking skills in reading, interpreting, analyzing and applying information from legal documentation and references.

• Attend to detail while maintaining a big picture orientation.

• Interpret and apply policies and identify and recommend changes as appropriate.

• Organize, manage and track multiple detailed tasks and assignments with frequent changing priorities and interruptions in a fast-paced work environment.

• Communicate effectively, both orally and in writing.

• Work independently as well as collaboratively within a team environment.

• Establish and maintain effective working relationships at all levels of the organization.

• Effectively and accurately communicates with team members and other members of the department.

Educational/Previous Experience Requirements

• Associates degree and a minimum of two (2) years’ experience in a law firm or legal department in a financial planning, investment management or other financial services environment.

• OR ~

• An equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

• Paralegal /Legal Assistant Certificate from an ABA accredited institution is preferred.

Education

Associate's: Law

Work Experience

General Experience - 13 months to 3 years

Certifications

Certified Paralegal (CP) - National Association of Legal Assistants (NALA)

Travel

Less than 25%

Workstyle

Hybrid

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.

We expect our associates at all levels to:
• Grow professionally and inspire others to do the same
• Work with and through others to achieve desired outcomes
• Make prompt, pragmatic choices and act with the client in mind
• Take ownership and hold themselves and others accountable for delivering results that matter
• Contribute to the continuous evolution of the firm

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

#LI-JB1