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Securities Paralegal

At Northwestern Mutual, we are strong, innovative and growing. We invest in our people. We care and make a positive difference.

The Northwestern Mutual Law Department is seeking an experienced and agile securities paralegal interested in joining a diverse, challenging, and fast-paced environment supporting the Company on a wide range of issues as the Company works to transform how clients experience financial security.

What's the role:

  • This securities paralegal will be a member of the Law Department’s Investment Products and Advisory Services Team, reporting to the VP-Investment Products and Services in Law, and will primarily focus, as part of a team of lawyers and paralegals, on supporting the securities law aspects of our variable annuity and variable life insurance products and their underlying mutual fund investment options.  Most of this legal work is handled entirely in-house.
  • Manages the process, and assists in the drafting, publishing and filing of annual registration statements, annual and semi-annual reports, prospectus supplements, proxy/information statements and related documents with the Securities and Exchange Commission
  • Provides corporate governance support by assisting in developing and coordinating meeting logistics and materials for quarterly mutual fund Board meetings and maintains related minute books
  • Aids in the implementation of new SEC rules applicable to variable products, investment companies and registered investment advisers
  • Performs legal and public records searches
  • Maintains and updates files, policies and procedures and databases
  • Assists with the maintenance of foreign sub-custodial registrations for foreign investments
  • Position provides a career track opportunity in the Law Department with potential advancement to a Paralegal Consultant.

Bring Your Best! What this role needs:

  • Candidates must have a Bachelor's degree and at least three years of paralegal experience, preferably involving securities or corporate law documents. Additional experience together with a certificate of paralegal studies from a program approved by the American Bar Association may be considered in lieu of Bachelor's degree.
  • Experience with the Investment Company Act of 1940 is a plus.
  • Corporate governance experience is a plus.
  • Experience using the DFIN ArcPro registration statement management and publishing system, or comparable system, is a plus. 
  • Experience with foreign registrations is a plus.

Desired personal attributes:

  • The scope of this role may change over time to respond to business needs. The successful candidate will be flexible and adaptable in terms of general skill sets and aspirations.
  • Excellent interpersonal and written and oral communication skills, a highly analytical and curious mind, creativity, comfort dealing with ambiguity, integrity, high ethical standards, and a positive outlook.
  • Demonstrated ability to collaborate and contribute effectively in a team environment while working independently and approaching work with a proactive mindset.
  • Ability to effectively prioritize multiple tasks at the same time.
  • A keen problem-solving approach using sound reasoning and practical judgment to achieve results that balance benefits for all stakeholders of the enterprise.

Information About Northwestern Mutual and the Law Department:

  • Northwestern Mutual Law Department’s is comprised of approximately 110 people, roughly 70 are lawyers, having come to Northwestern Mutual from all around the country after having graduated from a multitude of law schools and undergraduate institutions and having practiced in a wide variety of settings. 
  • The balance of the Department consists of highly skilled paralegals and research and administrative professionals who support significant aspects of the Department’s operations.
  • Our Law Department (in every aspect of its operation, including the Law Department Leadership Team, the Department’s practicing lawyers and paralegals, and the Department’s professional administrative staff) is inclusive and diverse, comprising a rich mixture of men and women who come from a wide variety of ethnic and religious backgrounds and includes people of color and those who are openly gay or lesbian.
  • The Northwestern Mutual Law Department provides the vast majority of legal services in nearly all disciplines directly to the Company, with only select utilization of outside counsel.
  • There are nine main practice teams within the Law Department:  Insurance Products and Operations; Investment Products and Advisory Services; Corporate; Distribution; Litigation; Digital Products and Operations, Enterprise Governance; Private Securities Investments; and Real Estate Investments. Members of the Law Department have the opportunity to develop a thorough understanding of the Company’s business needs and are fully engaged in the execution of the Company’s business strategy. 
  • This allows members of the Law Department to provide the most timely and effective counsel in an efficient manner and leads to greater career satisfaction for our attorneys, paralegals, and professional administrative staff.



This job is not covered by the existing Collective Bargaining Agreement.

Required Certifications:

Grow your career with a best-in-class company that puts our client’s interests at the center of all we do. Get started now! 

We are an equal opportunity/affirmative action employer and all qualified applicants will receive consideration for employment without regard to race, color, religion, gender identity or expression, sexual orientation, national origin, disability, age or status as a protected veteran, or any other characteristic protected by law.


We’re excited about the potential people bring to Northwestern Mutual. You can grow your career here while enjoying first-class perks, benefits, and commitment to diversity and inclusion.