Paralegal

Paralegal

Bernstein is widely recognized as a premier global equity research and brokerage firm, with a trading platform that spans the US, Europe, and Asia. Our research and trading capabilities are sought out by leading investment managers around the world, and we have a long history of our research receiving #1 rankings for overall quality and industry knowledge.

Bernstein Societe Generale Group is the Joint Venture established between Societe Generale and Alliance Bernstein to provide high quality independent research in equity and cash equity execution services. Bernstein Autonomous LLP is the UK Operating Company and employing entity for the JV.

Role Summary

This position requires assistance to the legal team globally concerning all legal issues relevant to all regions where Bernstein operates. While expertise outside of the UK is not mandatory, the candidate must be willing to fully support the global legal team as required. There is an expectation that the successful candidate will proactively contact the global team to offer support and build their casework.

Key duties include tracking all legal requests, managing contractual documentation (clients, vendors, brokers, trading venues, and third parties), assisting with corporate governance matters (excluding Companies House filings), and supporting lawyers on the team with legal and regulatory concerns.

Success in this role requires close partnership with all Bernstein business units, with the goal of becoming a trusted partner to the senior management of each unit. The individual must proactively engage with relevant business units, attend meetings, support all business unit requests (even if not strictly legal), and possess a strong self-starter attitude, being willing to work outside of their comfort zone.

The role will also involve close collaboration with the Compliance Team to provide support related to compliance queries where overlap or additional support is needed.

Experience is required in one or more of the following practice areas: financial regulation, commercial, corporate, or company secretariat.

Responsibilities

Setting a Positive Example

• Set a positive example by adhering to corporate, cultural, and conduct standards, including full compliance with the Bernstein Employee Handbook and requirements regarding in-office attendance and mobile phone usage.
• In conjunction with regional counsel, assist the legal department (and Compliance Department where appropriate) on all regulatory and legal matters affecting Bernstein, recognizing that different regions operate under unique legal and jurisdictional frameworks.
• Secure early involvement in projects, new initiatives, and services to advise on and mitigate legal and regulatory risks, requiring excellent working relationships with all business units to ensure legal consultation occurs at the earliest stages.

Fiduciary Requirements

• Ensure that Bernstein’s legal and regulatory risk is appropriately minimized and managed across all regions.
• Assist Bernstein with legal risk management under the direct management of the Head of Legal, UK, and supervision from regional senior lawyers where matters relate to non-UK issues.
• Escalate matters to the appropriate lawyer and/or business unit as necessary.
• Keep senior management appropriately informed regarding all ongoing legal issues and concerns.

Advisory

• Provide guidance to colleagues when participating in projects and initiatives.
• Help manage relationships with external counsel, including overseeing legal invoicing.
• Produce high-quality and consistent background research to assist the global legal team.
• Deliver a consistent message across all legal matters and to all business units, while maintaining a flexible approach where required.

Regulatory and Legal Requirements

Act at all times in a manner consistent with the Law Society of England and Wales, including:

• Ensuring legal documentation minimizes risks to Bernstein and maintains compliance with relevant legislation and regulatory regimes.
• Proactively identifying when updates or amendments are required, based on feedback or practice changes.
• Ensuring relevant business units are fully informed of the legal and regulatory risks associated with any commercial strategy or proposed contractual arrangement, both prior to launch and ongoing.
• Maintaining up-to-date knowledge and awareness to adapt to changes in applicable corporate governance and regulatory regimes and legislation.
• Engaging with external resources to source outside advice or supplement existing resources.
• Coordinating all changes and inputs to legal documents, preparing them for signature and storage.
• Drafting template research agreements based on commercial terms provided by counsel.
• Reviewing changes to client and vendor contracts and escalating decision points and risks to senior lawyers and management.
• Maintaining trackers of legal requests, following up with lawyers and internal clients, and tracking all legal fees while securing necessary approvals.

Corporate Governance Responsibilities

• Assist with minute-taking and the preparation of global board packs.
• Manage corporate governance functions for UK entities.
• Maintain internal documentation related to directorships and director equivalent roles.