What are the responsibilities and job description for the Regulatory Legal Specialist position at Nextgen information services?
Duties: As a 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
• Outstanding communication skills
• Excellent interpersonal skills
• Strong analytical & problem-solving skills; critical thinking ability
• Adaptive and able to meet deadlines on assignments and change priorities as required
• Collaborative & able to build effective working relationships with all levels of employees
• Strong skills in relationship building
• Excellent time management and organizational skills
• Detail oriented and able to quickly grasp big picture issues
• Driven, self-starter
• Committed to self-development
