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Years of Experience
Date Last Verified
Regulatory Paralegal/Compliance Associate The candidate will do maintaining and updating internal policies and procedures reflecting regulatory matters and rule changes. Will assist with organizing and drafting written summaries or presentations regarding regulatory/legal issues. Maintain firm compliance filing system. Assist in drafting and editing contracts and other legal documents. Ad hoc projects and duties as assigned. Make and manage travel arrangements. Offer strong project management skills to deliver task on or before given deadlines. Manage multiple projects to ensure on time delivery, working with all levels of management. Prepare various reports using Excel and expense report preparation. Manage business trackers and other Excel and/or Access databases. Review emails and manage workflow for group. Schedule department and client internal/external meeting. Create and format legal documents and correspondence. General administrative duties; mail, fielding phone calls, etc. 5+ years of paralegal or similar experience is preferred. Document review for internal and external examinations, investigations or litigation is a plus. Knowledge of FINRA, SEC and general securities laws; knowledge of UK and Canadian regulatory systems is a plus. Must have outstanding verbal communications skills, written communication and proofing skills. Advance experience with MS Word, Excel, PowerPoint, Outlook, Access is essential.
Job ID 2018-1419
Company infoHiring Coordinator