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Years of Experience
Date Last Verified
Paralegal - Regulatory The candidate will perform a variety of intermediate level litigation and regulatory support tasks, including assisting in organizing and analyzing documents and evidence and maintaining case files. May serve as a technical advisor to others. Guidance is provided to perform varied work that is somewhat difficult in nature, requiring some evaluation, originality and ingenuity to make moderately complex decisions. Resolves or recommends solutions to complex problems. Regular contact with internal customers and external providers of legal services is required to identify, research and resolve problems. Provide legal support services to attorneys in the form of basic case research and preparation of legal and business communications. Draft legal and business communications in support of attorneys, prepare legal documents and other correspondence both with and without attorney supervision. Perform legal research with LexisNexis, WestLaw, and fact gathering. Maintain a library of pre-approved form documents, contract clauses, templates, and historical documents, and add or revise material as needed. Prepare standard letters and reports and help create initial drafts of documents for review. May assist with litigation and dispute resolution. Gather, organize, summarize, index, and maintain documents from various sources. Perform legal research and assist in preparation of presentation materials. Provide general support to attorneys, and assist with other related duties as required. Maintain a library of preapproved documents, contracts and clauses, templates and historical documents and revise material as needed. Create and maintain internal case databases, run searches on internal and external document databases and systems, cull relevant information from a variety of resources. Reviews outside counsel and vendor invoices for discrepancies and approve. Assist in reviewing claims and preparing draft pleadings for review by legal counsel. Gather, organize, summarize and index legal and supporting documentation for internal and external legal counsel. Draft correspondence, discovery requests and responses, settlement agreements, motions, promissory notes, subpoenas and other related documents. Prepare and maintain trail notebooks and documents and may assist legal counsel at hearings and proceedings. Research, compile information and assist in preparing responses to regulatory authorities. Assist in obtaining witness statements. Assist in reviewing outside counsel invoices and tracking actual expenses and comparing to budget. Maintain the on-going status of cases in the case management system. Maintain currency in paralegal practices and methodologies. Operate standard office equipment and uses required software applications.
Qualification and Experience
The candidate must have Associates degree and 2+ years of experience in a law firm or legal department in a financial planning, investment management or other financial services environment or equivalent combination of experience, education, and/or training approved by Human Resources. Should preferably have Paralegal certification. Should have knowledge of: Laws, legal codes, precedents, and government regulations; Fundamental business practices and concepts that impact the success and profitability of the firm; Intermediate level concepts, practices and procedures of the paralegal profession; Basic investment concepts, practices and procedures used in the securities industry; Principles of banking and finance and securities industry operations; Financial markets and products.
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