Legal Operations Associate, Regulatory Filings, Compliance
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Job Description
Legal Operations Associate handling venture capital fund regulatory filings and compliance tasks. Supporting fund formation and governance processes remotely with the Decile Group.
Responsibilities:
- 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
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