Principal Financial Group · 14 hours ago
Paralegal Analyst
United States
Full-time
Remote
Senior Level, Lead/Staff
$26.83/hr - $73.27/hr
8+ years expPrincipal Financial Group is seeking a Paralegal Analyst to support the Law Variable Products SEC Team in preparing and managing regulatory filings for insurance products. The role involves project management, legal research, and drafting legal documents, while ensuring compliance with SEC regulations and other legal requirements.
Financial ServicesInsurance
No H1B
Responsibilities
Help prepare, coordinate, and manage SEC filings for variable life insurance and variable annuity products with attorney oversight including: Registration statements on Form N-4 and N-6, Post-effective amendments, supplements, and sticker filings, and Statutory Prospectuses, Summary Prospectuses, Statements of Additional Information, etc
Coordinate EDGAR filings, including document formatting, tagging, proofing, and submission
Help to maintain and update other required disclosure documents to reflect regulatory changes, product updates, and operational developments
Assist in responding to SEC, FINRA, IRS, and/or DOL comments and regulatory inquiries as needed
Support new product launches, substitutions, and mergers involving variable products
Handle other ad hoc matters as assigned
Perform a wide variety of complex legal and/or legislative research and analyze legislation, regulations, laws, statutes and/or administrative rules and apprise department lawyers, and clients
Draft highly complex legal and or legislative/regulatory memorandum, documents, and forms to fully respond to various legal/legislative issues and develop systems policies and procedures for the department or the company
Create, organize, and maintain various systems and procedures used in the department and contribute and maintain procedural and substantive manuals for the department's clients
Perform other job-related duties and special projects as required
Qualification
Required
Paralegal degree, certification, or equivalent, plus a minimum of 6+ years related legal and/or legislative/regulatory experience
Minimum 3+ years prior experience in-house at an insurance company or in an asset management corporate position
Exceptional attention to detail and ability to manage multiple filings and deadlines simultaneously
Strong organizational, time-management skills, and proofreading skills
Strong analytical and negotiation skills
Proficiency with Microsoft Office, Excel, document management systems (Workiva, Arc Pro)
Prior experience providing paralegal support relating to the preparation of Appendix A, broker-dealer matters, and fixed annuities
Familiarity with state insurance regulatory filings and the coordination required with federal securities filings
General working knowledge of the Securities Act of 1933 and Investment Company Act of 1940 and the SEC rules applicable to registered insurance products
Preferred
Paralegal degree, certification, or equivalent, plus a minimum of 8+ years related legal and/or legislative/regulatory experience highly preferred
Requires broad expertise in more than one area of the law
Paralegal degree, certification, or equivalent, plus a minimum of 10+ years working in the area of law and paralegal certificate or equivalent experience required
Benefits
Personal Time Off (PTO) is provided to hourly (non-exempt) employees and provides a set amount of accrued time earned each pay period.
Pension Eligible
Company
Principal Financial Group
Principal Financial Group® is dedicated to improving the wealth and well-being of people and businesses around the world—helping more than 62M customers plan, protect, invest, and retire as of December 31, 2023.
10001+ employees
Funding
Current Stage
Late StageLeadership Team
Dan Houston
President and CEO
Liliana (Lil) Waters, CPA, FLMI
CFO – US Distribution
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