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Compliance Paralegal Job Description

A compliance paralegal is someone who works under the supervision of a licensed attorney or attorneys in law offices, companies or financial institutions. Because there are so many laws and regulations the pertain to various industries, a compliance paralegal is typically tasked with helping ensure that the entity for whom he or she works is in compliance with all pertinent laws and regulations. A compliance paralegal who works in a bank, for example, will help ensure that the bank complies with all banking and financial institutions laws and regulations that pertain to the bank in connection with making loans and taking deposits.


Here are a few sample compliance paralegal job descriptions:

Temporary Compliance Paralegal

The candidate will be reviewing a heavy volume of monetary report reviews, cash logs, performing various searches and gathering detailed information. BA/BS degree is required together with excellent communication and interpersonal skills and with strong writing and research skills. Should have 2+ years of legal and compliance experience to assist with implementing compliance oversight relating to the Office of Foreign Assets Control and anti-money laundering regulations. Experience with MS Office Applications needed (Word, Excel, Access, etc.) is needed.

Compliance Paralegal

Duties : Conduct audit of delegates ensuring compliance with regulations and controls by examining and analyzing records, reports, operating practices, policies, and documentation; recommending opportunities to strengthen the internal control structure. Develop and write audit tools, audit work papers, and memorandums. Manage multiple compliance audits and projects. May mentor, train, or act as a technical resource to team members.May serve as lead for client specific, product and enterprise initiatives that require regulatory filings action/feedback. Communicates audit process and findings by preparing reports; providing information in meetings to leadership or committee. Self-monitors due dates in order to meet internal and external regulatory deadlines.Conduct regulatory research.Review emerging legislation for applicability to impacted products Medicaid and MMP . Represent completed audits, compliance issues impacting applicable audits conducted. Respond to questions relating to audits, research and emerging legislation. Promote Delegation Oversight initiatives with external and internal decision makers over multiple compliance functional areas.Provides expert knowledge and guidance around delegation oversight requirements and standards. Collaborate with downstream entities delegates on ways to improve adherence to regulatory requirements. Perform follow-up audits as required to assess improvement on previous non-compliant findings. Some travel may be required.

Qualifications: The candidate should have a Bachelor degree or equivalent training and mastery. 5+ years compliance/regulatory or audit experience with Medicaid or MMP Health Plan compliance experience. Experience in the development of new audit tools and/or audit work papers. Proven ability to manage multiple priorities/systems/functional areas. Excellent customer service skills. Project Management experience. Strong analytical skills. Strong written and verbal communication skills. Work Performed Onsite.

Compliance Paralegal

The candidate will be managing the regulatory filing process (Forms 8-K, 10-K, 10-Q, 3, 4, 5, etc.). Will be assisting with Board of Directors responsibilities (maintaining corporate minute books, preparation of materials for board/shareholder meetings). Other general corporate and compliance tasks may be assigned as needed including the drafting and management of contracts as well as maintenance of the fund's contracts database. Should have 2-5 years of experience at a top law firm or other similar financial services institution. BA degree required (top-tier school greatly preferred). Must be familiar with EDGAR. Must have Knowledge of '33 and '34 Acts.

Employment/Compliance Paralegal II

Duties: Assist in projects relating to employment, benefits, labor, compliance and corporate secretarial matters. Support Legal Department's training programs, including ethics and compliance initiatives. Assist in preparation of agreements and company-related communications. Assist with Legal Department contract management (e.g., maintain electronic contract database). Perform general administrative tasks (e.g., meeting scheduling). Assist in conducting company investigations. Maintain Legal Department's internal website. Assist with Workers Compensation matters. Assist with litigation-related and government agency administrative matters. Review, scan and maintain employment-related and personnel files. Maintain global list of outside counsel, generate and maintain engagement letters. Assist with policy updates and posting.

Qualifications: 5+ years of professional experience in employment/benefits as a paralegal in a law firm or in-house legal department; litigation experience preferred. Comfortable working in a fast-paced environment, independently, as well as collaboratively, and operating under tight deadlines with a broad range of responsibilities. Self-starter with ability to prioritize a myriad of competing matters. Creative and practical problem-solver. Exceptional communications, organization, listening and writing skills. Excellent interpersonal skills, with the ability to interact effectively across the global legal organization, and with all levels of management, customers and external parties. Highly detail-oriented, resourceful and flexible. Excellent problem-solving skills. Strong computer technology skills - Microsoft Office (Word, Excel, PowerPoint). Proficiency with Lexis, internet research and other research tools.

Compliance Paralegal

Responsibilities: The candidate will establish, review and maintain compliance for the Third Party due diligence process. This includes but is not limited developing and establishing program infrastructure for the evaluation and ongoing monitoring of third party on-boarding program for vendor/vendor(s), tenants, independent agents, professional advisors/consultants, lobbyists, business partners, travel agencies or group organizers contracted to supply hotel and group bookings and material relationships within pre-established corporate guidelines. This includes, but not limited to provide support for Gaming Regulatory operations projects. All duties are to be performed in accordance with departmental policies, practices, and procedure. The candidate will Organize, manage and maintain all electronic and paper based files for the Corporate Compliance organization and develop suitable naming conventions for departmental documentation. Assist in implementing best practices for developing a suitable structure for electronic files and establish rules for both naming and saving of legal files. Assist in vendor management including performing Third-Party Due Diligence (TPDD) on new and existing vendors to manage Foreign Corrupt Practices Act risk and ensure compliance with laws and regulations. Perform screening on applicable business entities and individuals against various watch lists and interfaces with other departments including Investigations and Accounts Payable to ensure compliance with our Company's TPDD Standard Operating Procedures. Escalate issues as necessary that pose significant risk to the Chief Compliance Officer and perform any additional measures that are deemed necessary. Perform pre-approval due diligence screening on the recipients of charitable donations and the organizers and beneficiaries of sponsorship activities. Responsible for maintaining TPDD records. Support research and production requests from either the Gaming Control Board or IRS. Provide support for the Financial Crimes Enforcement Network (FinCEN) to collate updates/reports and provide guidance to the group. Keep department informed of new developments in corporate legal matters, and keeps all levels of management informed of the progress and results of such matters. Other duties as assigned. Consistent and regular attendance is an essential function of this job.

Requirements : The candidate should be 21 years of age and proof of authorization/eligibility to work in the United States. The candidate should have Bachelor/Associates degree and 2-5 years of legal administrative experience. Paralegal certification required. Ability to communicate effectively in a positive/upbeat fashion utilizing English; both in oral and written form. Interpersonal skills with focused attention to guest needs to deal effectively with all business contacts, maintain a professional, neat and well-groomed appearance adhering to LVS appearance standards. Maintain consistent adherence the LVS Unmatched Guest Service Standards, work varied shifts, including weekends and holidays. Demonstrative experience of supporting attorneys. Highly adept at drafting in-house memos and summaries. Possess strong organization skills. Proficient user of Microsoft Office applications (Word, Excel, PowerPoint, Visio, Project), AS400 and Ariba. Prior database management experience within a legal and/or compliance services environment. Must have knowledge of all relevant SOP's, guidelines, policies and work procedures that are typical in the Casino Industry.

Compliance Paralegal

Duties: Perform specifically delegated paralegal work in support of the Compliance/Legal functions. Tracks changes to laws and regulations applicable to the Group of companies using appropriate software tools and other processes designed to trigger appropriate updates. Handles appropriate internal dissemination of regulatory and legal compliance updates throughout Group. Performs legal research on various compliance topics, including E&S regulatory issues, HIPAA and state privacy laws, OFAC, document retention requirements, insurance holding company act filings and requirements including ORSA and Form F filing requirements, fraud plan/training requirements, and consumer complaints. Performs clerical tasks in support of routine filings and related compliance functions, including E&S maintenance filings. Manages reporting requirements nationwide and supports HR in implementing employee training programs designed to satisfy requirements in all states in which NORCAL Group does business. Organizes, analyzes, and summarizes results of research gathered from various sources. Responds to various requests from the business units in support of the distributed compliance functions. Drafts correspondence and legal memos (both routine and non-routine). Assists as needed in preparing departmental policies and procedures, operating and training manuals, budgets, charts and documents in support of the Compliance function. Monitors compliance with contractual requirements. Directly interfaces with in-house clients with appropriate attorney supervision. Resolves routine compliance matters requiring legal support under the supervision and guidance of attorneys. Maintains outside legal expense log and utilization analysis. Assists in data gathering and compiling information for special projects as assigned. Organize and maintain matter files, administrative files, meeting files, chron files, and research files; maintain department files in ImageRight. Other duties as assigned.  

Qualifications: Four-year undergraduate degree required or equivalent combination of education and work experience. Paralegal certification from an accredited program preferred. 3+ years' paralegal or related experience in an insurance regulatory department of an outside law firm or in-house legal department, preferably supporting compliance function within an insurance company. 2+ years of legal research experience is required. Skills Required: Good basic understanding of the role of the compliance function within a regulated industry. Legal documentation and regulatory filing format knowledge and experience. Excellent oral and written communication skills. Excellent spelling, grammar, and punctuation. Proficiency with Westlaw and/or Lexis legal research tools. Proficiency in Microsoft Word, Excel, PowerPoint, Outlook and Access. Proficiency in document imaging programs. Able to remain flexible in an ever changing/priority shifting environment. Able to take direction and accomplish tasks with minimal supervision, maintain accuracy and meet deadlines. Demonstrated sound judgment, utmost discretion and ability to keep information confidential as required.

Compliance Paralegal Job

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