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In-House
Legal Staff
Corporate - General
Min 7 yrs required
Senior Paralegal The candidate will be responsible for performing legal and regulatory functions for company and its subsidiaries. Will be a member of the General Counsel’s Office supporting the attorneys who work on regulatory matters for compay’s clearing agencies. Support SEC rule-filing work for the clearing agency businesses. Help prepare draft and final rule filings for submission to SEC, including collecting and reviewing relevant exhibit documents and editing and proofreading filings. Draft and review important notices and other member communications concerning rule filings. Research clearing agency rules and rule filings to respond to internal and external inquiries. Handle administration of rule filing processes for the clearing agencies. Manage a comprehensive rule filing chronology and library, and maintain and update rule filing status tracking documents that are shared with senior management and regulators. Monitor public comments regarding pending rule filings. Help prepare and maintain website and training materials relating to rule filings and overall regulatory requirements. Act as the project manager for large-scale regulatory submissions such as applications for recognition or authorization. Provide other paralegal and general administrative support for the regulatory attorney group as assigned from time to time, including conducting research, maintaining well-organized records relating to regulatory matters, preparing meeting minutes and action item logs and preparing other documents including forms, memoranda and presentations. Mitigates risk by following established procedures and monitoring controls, spotting key errors and demonstrating strong ethical behavior. Seeks feedback from others, provides feedback to others in support of their development, and is open and honest while dealing constructively with criticism. Effectively manages tasks and people, taking a practical approach to determine the most effective method of execution while respecting others’ expertise and considering others’ feelings and working styles. Values individuals and embraces diversity by integrating differences and promoting diversity and inclusion across teams and functions. A Bachelor's degree with Masters or equivalent experience preferred Should have 7 years of related experience as a paralegal or in a similar legal or regulatory capacity. Experience at a full service law firm strongly preferred.
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