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Organization TypeLaw Firm
Date Last Verified
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 issuesâ€™ 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 SECâ€™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 FINRAâ€™s Brokercheck. Brokerage industry data, including demographic and financial data, which entails knowledge of banking industry â€œcall reportsâ€ 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 infoHiring Coordinator