Job Details

Brokerdealer Practice Paralegal

Company name

Organization Type

Law Firm

Job Type

Legal Staff

Date Last Verified

Aug 14,2018

Posted on

Aug 01,2018


Washington, DC
Practice Area
Corporate >> Corporate - Securities and Capital Markets
Apply for this job
Your Email:
Upload Resume:

7 hits


Broker-Dealer Practice Paralegal Duties: Provide a high level of quality legal assistant research and filing service. Prepare and submit various regulatory filings related to registration of broker-dealers, investment advisers, money services businesses and assist clients with various corporate and securities related substantive issues’ including discussions with the Attorney to ensure the information to be provided to the client is accurate. Assist lawyers in all phases of administrative enforcement process, from Wells Notice to the discovery period through trial and post-trial findings and appeals. Proofing and adding citations to legal memoranda and other documents. Application of project management skills to review, organize, and track files, documents, and cases. Assist in legal and administrative duties in the course of representing clients in regulatory and controversy matters. Legal Research: Conducting research in connection with: Federal securities laws and regulations of the state and federal securities agencies or organizations (SEC, NASAA and SROs (and other agencies from time to time) as well as interpretive guidance in various forms issued by these agencies and SROs, which entails knowledge of the organizational structures of each of these agencies and SROs, familiarity with the resources made available by them (online and otherwise), library treatises, and experience with a variety of proprietary research tools (e.g., Lexis products). Research of relevant caselaw. Legislative and rulemaking histories, which entails knowledge of the federal legislative process and federal rulemaking process, as well as familiarity with research tools. SEC filings (both investment companies and operating companies), utilizing the SEC’s EDGAR database and other research tools, to find information about a particular broker-dealer, such as a FOCUS report, which entails knowledge of the various types of SEC filings and what information they contain. Information about securities intermediaries (e.g., brokers, dealers, or investment advisers), which entails knowledge of FINRA’s Brokercheck. Brokerage industry data, including demographic and financial data, which entails knowledge of banking industry “call reports” and other regulatory reports. State law research (securities laws/regulations) from time to time. Performing 50-state surveys of state laws from time to time on particular securities issues, as well as periodic updating of an ongoing survey of state securities laws impacting broker-dealer clients of the firm. Substantive Research: Analyzes documents and materials. Performs factual research. Compiles information into charts, graphs and timelines. Researches prior testimony and publications of experts. Researches rules of procedure for relevant court venues, and assures adherence thereto. Coordinates preparation and filing of briefs and legal documents: Legal cite checking, shepardizing (Westlaw, Lexis). Fact checking. Compiles appendices and exhibits. Blue Book formatting, application of local rules. Files with the agencies or with court and serves on parties. Preparing for and attending enforcement proceedings, trials, interviews, or depositions. Maintain internal source databases, client files, and legal guidance memoranda.

Qualification and Experience

Qualifications: A recent college graduate from a wide variety of majors and diverse backgrounds. Bachelor's Degree or comparable work experience. Strong organizational, interpersonal, communication and writing skills. Demonstrated leadership skills. Ability to effectively interact and communicate, both verbally and in writing, with legal and administrative staff. Possess effective decision making and problem solving skills. Ability to work both independently and as part of a team. Resourceful, detail oriented and proactive to the needs of the position. Work effectively in a customer service oriented and deadline sensitive work environment. Possess a high level of integrity and ability to maintain confidentiality and discretion at all times. Strong work ethic. Interest in the legal field, as demonstrated through coursework, extracurricular activities, or jobs and internships. Proficiency with various computer software programs such as Outlook, Word and Excel. Spanish language skills a plus.

Company info

Hiring Coordinator
Seward & Kissel LLP
901 K Street, NW
Washington, DC 20001


"Concentration of Seward &Kissel LLP."

Current Employee - Reviewed on August 04, 2017

Refresh inward arrangements with respect to non-legitimate staff. A great deal of "rules" aren't composed, or on the off chance that they are it's in a to a great degree dated guide. Tune in to the charged and give reasonable appraisals. It would be ideal if you consider the ability sets of all representatives and give testing work.

Pros : Individuals can be exceptionally friendly and cheerful. It is Incredible for its investment administration and related gatherings. Workplaces may offer a pleasant view while working. Partners are available, extraordinary and dynamic. A collegial and proficient atmosphere pervades the workplace.
Cons : Sub-market rewards and bonuses, tech and advantages (contrasted with substantial NYC based firms). Medicinal benefits are costly. The firm is modest with specific supplies that are required to complete workplace duties. Repayments take quite a while when you are required to be reimbursed. There is not a lot of development opportunity and at times you may be relying upon your group for assistance. The work can sometimes be constrained and dull. The programming the firm uses is not at maximum quality. Administration is not always available when needed.
Current or former employee? : Current Employee

Similar Jobs:

Investment Services Paralegal Duties: Assist with SEC filings and a variety of corporate, securities and transactional matters supporting the Investment Services group. Prepare and manage various filings and related materials. Pe...
Paralegal The candidate must be able to assist in: drafting pleadings, discoveries, prepare exhibits, organize binders for trial and depositions, assist helping the firm with the supervision of attorneys, to file timely motions, ...
Legal Assistant/Office Manager The Candidate will be responsible for Client intake/follow-up. Client onboarding. Client communications. Time/billing. Email management, Electronic filing system, Office filing system, Draft lette...