What are the responsibilities and job description for the 35758555_Legal Assistant position at NextGen Information Services, Inc.?
Job Title : Sr. Legal Assistant
Duties : As a Senior Legal Assistant, you will strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the Firm's businesses.
Responsibilities :
- Conduct due diligence reviews of clients during the account opening process
- Conduct monitoring and surveillance of transactions, employee activities or communications
- Analyze regulations, rules and various proposals
- Draft and coordinate regulatory updates and compliance bulletins
- Develop a compliance training program
- Perform tests of the Firm's processes and controls
- Research and respond to various regulatory inquiries and examinations
- Defuse an investor or client dispute
- Participate in compliance risk assessments and analyze the compliance environment and controls for a line of business
Qualifications :
We are looking for dynamic, resourceful, and dedicated candidates with knowledge of financial services and the securities markets and / or similar experiences that can translate to our work environment
Required Skills : ACCURATE DATA ENTRY
CONFIDENTIAL DATA
TEAM PLAYER
FAST LEARNER
LEGAL SUPPORT
Additional Skills :
INVESTIGATION / REMEDIATION
DIVERSE ENVIRONMENT
ADMINISTRATIVE SUPPORT
CORRESPONDENCE
OPERATIONS
DIVERSE TEAM
COMPLIANCE / REGULATORY
DETAIL ORIENTED
