Workiva is committed to working with and providing reasonable accommodations to applicants with disabilities. To request assistance with the application process, please email earlycareer@workiva.com. Workiva employees are required to undergo comprehensive security and privacy training tailored to their roles, ensuring adherence to company policies and regulatory standards. Workiva supports employees in working where they work best - either from an office or remotely from any location within their country of employment.
Securities and Compliance Paralegal
Location
United States
Posted
2 days ago
Salary
$111K - $178K / year
Seniority
Mid Level
No structured requirement data.
Job Description
Securities and Compliance Paralegal
Workiva Inc.
Role Description We are seeking a highly organized, detail-oriented Securities and Compliance Paralegal to support the Legal Department of Workiva Inc. This role will report to the Director of Legal Operations & Compliance and Assistant Secretary (Governance), and will support SEC reporting, Section 16 compliance, corporate governance, stock administration, insider trading compliance, and other public company legal operations. The ideal candidate has public company securities experience, strong judgment, excellent follow-through, and serves as a trusted partner and liaison between outside counsel, finance, investor relations, stock administration, and other cross-functional leaders. A successful candidate will be someone who takes ownership, anticipates deadlines, and creates order from complexity. This role requires discretion, precision, and the ability to manage multiple deadline-driven processes in a fast-paced environment. What You’ll Do - SEC Filing and Disclosure Support - 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. - Corporate Governance Support - 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. - Compliance, Insider Trading, and Stock Administration Support - 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. - Legal Operations and Administrative Support - 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. Qualifications - Undergraduate degree. - 4+ years of relevant securities, corporate governance, public company, or law firm experience. Requirements - 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 - Salary range in the US: $111,000.00 - $178,000.00. - A discretionary bonus typically paid annually. - Restricted Stock Units granted at time of hire. - 401(k) match and comprehensive employee benefits package.
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