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[Remote] Securities and Compliance Paralegal
Note: The job is a remote job and is open to candidates in USA. Workiva Inc. is seeking a highly organized, detail-oriented Securities and Compliance Paralegal to support their Legal Department. This role involves managing SEC filings, corporate governance, and compliance processes, while acting as a liaison among various stakeholders.
Responsibilities
- Draft, review, and coordinate the filing of the Company’s SEC filings, including Forms 10-K, 10-Q, 8-K, DEF 14A, annual report materials, registration statements, and related disclosure documents
- Manage the end-to-end SEC filing process, including document compilation, preparation of support files, exhibit coordination, signature packets, internal review workflows, and final filing logistics
- Assist with preparation and coordination of annual meeting materials, director and officer questionnaires, proxy-related materials, and related governance and disclosure processes
- Own the preparation and filing of Section 16 reports, including Forms 3, 4, and 5, powers of attorney, beneficial ownership tracking, and related filing support
- Maintain the Company’s and Section 16 filers’ EDGAR Next accounts and related credentials, permissions, records, and processes
- Maintain compliance calendars, checklists, and internal procedures for periodic, annual, and event-driven reporting deadlines
- Maintain the Company’s governance policies, committee charters, corporate records, governance trackers, and related materials
- Prepare Board and Committee presentation templates and support the preparation, review, finalization, and distribution of Board and Committee materials
- Maintain calendars, trackers, and databases for Board and Committee meeting materials, approvals, action items, and related governance processes
- Facilitate and manage onboarding processes for directors and officers, including Forms ID, questionnaires, certifications, and onboarding materials
- Support the annual Board and Committee self-evaluation process
- Prepare responses to internal and external audit requests, ensuring accurate production of documentation, production of meeting minutes, and coordination of supporting documentation
- Support subsidiary governance, corporate recordkeeping, and entity management matters, as needed
- Administer the Company’s securities trading policies, evaluate preclearance requests, and independently resolve standard employee inquiries, restricted trading lists, blackout communications, and employee questions
- Help maintain insider lists, training materials, FAQs, templates, and other resources related to securities compliance and public company obligations
- Respond to FINRA, broker, transfer agent, and other stockholder-related requests, as appropriate
- Support equity, stockholder, and beneficial ownership-related processes, including internal tracking, recordkeeping, and coordination with relevant stakeholders
- Draft, prepare, and coordinate correspondence, certifications, resolutions, consents, notices, and other legal and governance documents
- Maintain organized legal files, records, workflows, templates, and process documentation
- Identify opportunities to improve efficiency, quality, consistency, and scalability across securities, governance, compliance, and legal operations processes
- Support other Legal Department projects and responsibilities, as assigned
Skills
- Undergraduate degree
- 4+ years of relevant securities, corporate governance, public company, or law firm experience
- Experience supporting SEC filings, Section 16 filings, proxy statements, or public company governance
- Proficiency with EDGAR, EDGAR Next, Shareworks, Computershare, Monday.com, or Workiva software
- Advanced skills in Microsoft Office, including Word, Excel, PowerPoint, and Copilot
- Strong judgment and discretion when handling confidential, sensitive, and material nonpublic information
- Ability to manage multiple priorities, stakeholders, and deadlines in a fast-paced environment
- Excellent written and verbal communication skills
- Proactive mindset with a focus on improving workflows, templates, and operating procedures
- Interest in using technology and AI to improve efficiency, accuracy, and legal service delivery
- Proven ability to operate independently with minimal day-to-day instruction, effectively prioritizing high-volume, deadline-driven workflows
- Demonstrated experience identifying process inefficiencies and implementing scalable, technology-driven solutions within a legal department
Benefits
- A discretionary bonus typically paid annually
- Restricted Stock Units granted at time of hire
- 401(k) match and comprehensive employee benefits package
- Minimal travel required for team meetings and professional development events
- Standard office or remote working conditions dependent upon location alignment
- Workiva supports employees in working where they work best - either from an office or remotely from any location within their country of employment.
Company Overview
