Securities and Compliance Paralegal

Responsibilities

• SEC Filing and Disclosure Support
• Support the preparation, drafting, review, and 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
• Support 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
• Coordinate, prepare, and file 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
• Support onboarding processes for directors and officers, including Forms ID, questionnaires, certifications, and onboarding materials
• Support the annual Board and Committee self-evaluation process
• Assist with internal and external audit requests, including preparation of audit response materials, 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
• Support administration of the Company's securities trading policies, including trading preclearance requests, 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

Requirements

• Undergraduate degree
• 2+ years of relevant securities, corporate governance, public company, or law firm experience
• 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
• Travel Requirement & Worki

Benefits

Additional Information

We are seeking a highly organized, detail-oriented Securities and Compliance Paralegal to support the Legal Department of Workiva Inc. (the Company). 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 comfort working with outside counsel, finance, investor relations, stock administration, and other cross-functional partners. 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.

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