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Legal Staff in San Diego, CA

LPL Financial Oct 29,2014 Aug 13,2014 Location San Diego CA
This job is expired...

In-House

Legal Staff

Finance - Banking

Litigation - Whistleblower - CFTC

Min 3 yrs required

Profile

Senior Compliance Specialist, Infrastructure Risk Duties: Reports to Manager, GRC. Responsible for the Governance, Risk and Compliance (GRC) department’s eDiscovery process. Email eDiscovery requests may be received from GRC or Legal staff, the SEC, FINRA, State Insurance and Securities Regulators, OCC, FDIC and others. Be responsible creating and maintaining GRC email systems. Understanding of Excel Reports and knowledge of the firm’s books and records, as well as a detailed understanding of the information being requested. Manage, run, create, QC, deliver and report on email e-discovery requests. Maintaining record logs and tracking of email e-discovery requests. Drafting, editing, maintaining email e-discovery procedures. Testing and signing off on all email e-discovery requests delivered. Effectively coordinate the resolution of email issues/questions collaborating with various departments personnel. Audit reports, spreadsheets, databases and systems to determine effectiveness of workflow and proactively implement measures to increase effectiveness and efficiencies.

Qualification and Experience

Requirements: Associate’s Degree with a focus in Finance, Economics, Business, Systems or Technology or equivalent work experience. 3+ years' experience in the financial services industry preferably in a legal/compliance capacity, or experience with a securities regulator and Minimum of 3 years experience with Excel databases. Excellent computer skills including experience with Microsoft Word, Excel, Access, PowerPoint, SharePoint and Outlook. Understanding of eDiscovery workflow.

Additional info

Auto req ID: 2398BR

Company info