Legal Assistant

Job Summary:

As a Legal Assistant, you will support the firm's compliance efforts by fostering cooperative relationships with government policymakers, regulatory bodies, and self-regulatory agencies that oversee our business operations. This role involves conducting due diligence, monitoring transactions and activities, analyzing regulatory changes, and ensuring the firm remains compliant with applicable laws and policies.

Key Responsibilities:

• Conduct due diligence reviews of clients during the account opening process.
• Monitor and conduct surveillance of transactions, employee activities, and communications.
• Analyze regulations, rules, and various proposals relevant to the firm s operations.
• Draft and coordinate regulatory updates and compliance bulletins for internal stakeholders.
• Develop and maintain a compliance training program for employees.
• Perform tests and evaluations of the firm s internal processes and control systems.
• Research and respond to inquiries and examinations from regulatory agencies.
• Manage and help resolve investor or client disputes.
• Participate in compliance risk assessments and evaluate the firm s compliance environment and internal controls across business lines.

Qualifications:

We are seeking dynamic, resourceful, and dedicated individuals with knowledge of financial services, securities markets, or equivalent experience that translates well into a compliance environment.

Required Skills & Attributes:

• Outstanding written and verbal communication skills.
• Excellent interpersonal skills; ability to build relationships across departments and levels.
• Strong analytical, critical thinking, and problem-solving skills.
• Highly adaptive with the ability to manage multiple tasks and shift priorities as needed.
• Effective collaborator with strong relationship-building skills.
• Exceptional time management and organizational abilities.
• Detail-oriented with the capacity to understand broader business issues.
• Self-motivated, proactive, and committed to ongoing professional development.