Paralel is the future of the back office, using next-generation technology and old school
relationship-driven culture to redefine the value proposition for our clients. We offer a robust benefits
package, encourage teamwork and collaboration, and cultivate our culture through our core values of Service,
Technology, Courage, and Compassion.
Paralel is a FinTech administrator and distributor for registered investment products, including ETFs, closed-end
funds and mutual funds. The firm offers full-service fund administration, fund accounting, transfer agency and
distribution services from its Denver, Colorado headquarters.
Outline of the role:
Paralel is looking for an ambitious candidate to join our growing team. The ideal candidate will be excited and
eager to wear multiple hats, dive into the broker-dealer landscape, and have a variety of tasks and duties
related to the distribution we provide our clients. Rather than having one niche facet, we’re looking for
someone willing to diversify their skills and duties.
On a daily basis, our department works closely with our clients to ensure all parties adhere to the rules and
regulations governing the securities industry. This will involve marketing communications, registered
representative activities, or due diligence of intermediaries that we have agreements with. This position will
work closely with other team members to perform day-to-day activities involving these various capacities of the
broker-dealer and client involvement.
This individual will have certain internal responsibilities including working with other Paralel team members to
stay abreast of changing regulations affecting broker-dealers and help with the revision, preparation, and
dissemination of new and updated compliance policies, procedures, and manuals, among other tasks.
Key Tasks and Responsibilities
Review and provide feedback on advertising materials, including fund websites, for 1940 Act as well as
private fund marketing materials and confirm communications are in compliance with policies and procedures.
Correspond with applicable regulatory bodies for clarification of advertising regulations as needed.
Review and process individuals’ FINRA registrations and maintain related records.
Support the development of training content for our registered representatives.
Help build relationships at the intermediary level.
Assist with intermediary due diligence.
Review and become familiarized with selling agreement language and act as a point of contact between
internal and external teams for agreement execution.
Assist in maintaining internal compliance materials such as manuals, reference material, and reports.
Potential for some minor travel to assist with branch office examinations.
Help in identifying efficiencies with compliance monitoring activities.
Qualifications
Bachelor’s degree.
A minimum of 3 years’ relevant experience in fund distribution compliance (advertising or registered
representative supervision experience preferred).
Series 7 FINRA registration required, Series 24 preferred.
Familiarity with securities laws and regulations pertaining to registered products including FINRA Rules,
the Investment Company Act of 1940, the Securities Act of 1933, and the SEC Marketing Rule.
Ability to thrive in a highly demanding, entrepreneurial, and fast-paced environment.
Ability to manage and prioritize multiple tasks.
A top performer with a proactive approach who has a “doer” and problem-solver mentality.
An exceptional team player with strong communication skills.
Experience working with or for the Securities Exchange Commission (“SEC”) or Financial Industry Regulatory
Authority (“FINRA”).
Compensation Range:
$80,000 - $110,000
The actual salary offer to the successful candidate will be based on job-related education, training,
industry experience, certifications, and other factors.
Other Compensation:
Performance bonus eligible
What We Offer:
A comprehensive benefits package, including:
Employer paid medical options, plus dental and vision coverage
Disability, AD&D and Life Insurance
Flexible spending accounts (FSA)
401(k) and performance bonus eligibility
Unlimited paid time off and 10 paid holidays
An energetic and dynamic team-based culture focused on our values of service to others and to our community
Senior Legal and Compliance Analyst
Company Overview
Paralel Technologies is a growing FinTech firm redefining the relationship between asset managers and their
back office. We are the premier trusted partner for asset managers and their funds, innovating with
technology and serving with compassion.
Role Overview:
We at Paralel are looking for a motivated individual to serve as a senior legal and compliance analyst who
values teamwork, growth, and is excited to learn here in our Denver office. We’re an innovative, growing
company with an exciting future – that means you’ll be empowered from day one to help us build our future
and shape your career and role. In addition, our small but experienced leadership team is here to ensure
you have the knowledge and tools for success. So come be a part of our growing, energetic, team-based
culture, where we’re focused on our values of service, to ourselves, to others and to our community.
The right candidate will be able to provide onboarding and legal support for a variety of mutual fund,
exchange traded fund and closed-end fund clients, as well as support the operations of the firm’s registered
investment adviser’s compliance program . This position requires excellent communication and
organizational skills and will have direct day-to-day interaction with clients. We value those with a sense of
responsibility, the ability to be flexible and willingness to help solve challenges in fun and creative ways.
Job Responsibilities: (may include and are not limited to)
Provide continuous legal and compliance support to internal and external business partners
across a broad range of legal and compliance areas.
Serve as a primary client contact, managing the day-to-day legal operation of client funds.
Prepare regulatory filings required under the Investment Company Act, Investment Advisers Act,
Securities Act of 1933 and Securities and Exchange Act of 1934 for filing with the U.S. Securities
and Exchange Commission (SEC), including Forms N-1A, N-2, N-CSR, N-PX, and DEF 14A, among
others.
Collaborate in preparation for fund board meetings including drafting and distributing legal
documents, communications, resolutions, correspondence, notices, and agendas.
Attend client board meetings and take minutes.
Support the operations of Paralel’s registered investment adviser’s compliance program,
ensuring adherence to policies and procedures, as well as applicable laws and regulations.
Prepare and maintain multiple regulatory filing and compliance calendars.
Monitor and report on regulatory initiatives promulgated by various regulatory agencies such as
the SEC and Financial Industry Regulatory Authority (FINRA).
Prepare and maintain policies and procedures as needed.
Conduct legal research and compile data for attorneys, clients, and corporate personnel from
various sources, providing direction to other team members on business activities.
Opportunities to lead teams, bringing your specific experience and expertise to our team!
Skills and Qualifications:
Bachelor’s degree, paralegal certification, or equivalent work experience
Four or more years experience working with the Investment Company Act, Investment Advisors
Act of 1940, corporate governance, compliance, securities law, or regulatory filings strongly
preferred
Familiarity with (or willingness to learn) adviser regulatory compliance software, preferably
MyComplianceOffice
Proficiency with terminology relevant to the investment management industry
Excellent verbal and written communication skills and strong ability to communicate with a wide
and diverse audience (both internal and external), including daily client interactions
Excellent attention to detail and strong multi-tasking skills
Proficient in Microsoft Office products, comfortable working with new technology and trying new
ideas
Ability to work in a team environment and take ownership on individual projects with little to no
supervision
Compensation Range:
$75,000 - $110,000, depending on experience
Performance bonus eligible
The actual salary offer to the successful candidate will be based on job-related education,
training, industry experience, certifications and other factors.
What We Offer:
A comprehensive benefits package, including:
Employer paid medical options, plus dental and vision coverage
Disability, AD&D and life insurance
Flexible spending accounts (FSA); Health savings account (HSA) for high deductible medical plan
401(k) match
Unlimited PTO
An energetic team-based culture focused on our values of service to others and to our
community
On-site gym and yoga studio
Free snacks and weekly lunch, craft beer & kombucha on tap in the office, plus pinball
Work life flexibility
Hybrid schedule available, depending on experience
Paralel Technologies LLC is an equal opportunity employer.
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex,
sexual orientation, gender identity, national origin, disability or veteran status.
Legal and Compliance Analyst
Company Overview
Paralel Technologies is a growing FinTech firm redefining the relationship between asset managers and their
back office. We are the premier trusted partner for asset managers and their funds, innovating with
technology and serving with compassion.
Role Overview:
We at Paralel are looking for a motivated individual to serve as a legal and compliance analyst who values
teamwork, growth, and is excited to learn here in our Denver office. We’re an innovative, growing company
with an exciting future – that means you’ll be empowered from day one to help us build our future and
shape your career and role. In addition, our small but experienced leadership team is here to ensure you
have the knowledge and tools for success. So come be a part of our growing, energetic, team-based culture,
where we’re focused on our values of service, to ourselves, to others and to our community.
The right candidate will be able to provide onboarding and legal support for a variety of mutual fund,
exchange traded fund and closed-end fund clients, as well as support the operations of the firm’s registered
investment adviser’s compliance program . This position requires excellent communication and
organizational skills. You will have the opportunity for direct day-to-day interaction with clients. We value
those with a sense of responsibility, the ability to be flexible and willingness to help solve challenges in fun
and creative ways.
Job Responsibilities: (may include and are not limited to)
Provide continuous legal and compliance support to internal and external business partners
across a broad range of legal and compliance areas.
Serve as a primary client contact, managing the day-to-day legal operation of client funds.
Prepare regulatory filings required under the Investment Company Act, Investment Advisers Act,
Securities Act of 1933 and Securities and Exchange Act of 1934 for filing with the U.S. Securities
and Exchange Commission (SEC), including Forms N-1A, N-2, N-CSR, N-PX, and DEF 14A, among
others.
Collaborate in preparation for fund board meetings including drafting and distributing legal
documents, communications, resolutions, correspondence, notices, and agendas.
Attend client board meetings and take minutes.
Assist with the operations of Paralel’s registered investment adviser’s compliance program,
ensuring adherence to policies and procedures, as well as applicable laws and regulations.
Prepare and maintain multiple regulatory filing and compliance calendars.
Monitor and report on regulatory initiatives promulgated by various regulatory agencies such as
the SEC and Financial Industry Regulatory Authority (FINRA).
Prepare and maintain policies and procedures as needed.
Conduct legal research and compile data for attorneys, clients, and corporate personnel from
various sources, providing direction to other team members on business activities.
Opportunities to lead teams, bringing your specific experience and expertise to our team!
Skills and Qualifications:
Bachelor’s degree, paralegal certification, or equivalent work experience
At least one year of experience working with the Investment Company Act and/or Investment
Advisors Act, or experience working in investment management, corporate governance,
compliance, securities fields preferred.
Familiarity with (or willingness to learn) adviser regulatory compliance software, such as
MyComplianceOffice preferred
Proficiency with or willingness to learn terminology relevant to the investment industry
Excellent verbal and written communication skills and strong ability to communicate with a wide
and diverse audience (both internal and external), including daily client interactions
Excellent attention to detail and strong multi-tasking skills
Proficient in Microsoft Office products, comfortable working with new technology and trying new
ideas
Ability to work in a team environment and take ownership on individual projects with minimal
supervision
Compensation Range:
$60,000 - $85,000
Performance bonus eligible
The actual salary offer to the successful candidate will be based on job-related education,
training, industry experience, certifications and other factors.
What We Offer:
A comprehensive benefits package, including:
Employer paid medical options, plus dental and vision coverage
Disability, AD&D and life insurance
Flexible spending accounts (FSA); Health savings account (HSA) for high deductible medical plan
401(k) match
Unlimited PTO
An energetic team-based culture focused on our values of service to others and to our
community
On-site gym and yoga studio
Free snacks and weekly lunch, craft beer & kombucha on tap in the office, plus pinball
Work life flexibility
Hybrid schedule available, depending on experience
Paralel Technologies LLC is an equal opportunity employer.
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex,
sexual orientation, gender identity, national origin, disability or veteran status.