What are the responsibilities and job description for the Legal Assistant position at Prospect Infosystem Inc.?
Job Title: Sr. Legal Assistant
Location: St Louis, MO
Duration: Long Term
Job Description:
What are the responsibilities of the position?
What qualifications would an ideal candidate possess?
• Experience investigating legal complaints
• Regulatory experience
• Familiarity with the financial services industry
• Investigative curiosity.
• Comradery is very important to the team so successful candidates will also place a high
value on comradery.
• Independent and self-directed with the ability to take direction
What qualifications would not be a fit for this position?
• This is not an administrative position so someone with an administrative background
would not be successful in the role.
• Edward Jones has a service mindset and strives to resolve complaints by doing the right
thing. Therefore, candidates with a punitive legal approach would not be a good fit.
• As previously mentioned, comradery is very important to the team so candidates who
are aggressive rather than cooperative, or competitive rather than supportive would not
be successful in the role.
• Everyone on the team pitches in wherever they are needed so candidates who feel they
are above some tasks would not be successful in the role.
What are the responsibilities of the position?
• Investigate legal complaints and provide responses
• Analyze complaint data to identify trends and mitigate risk.
• Ensure all regulatory requirements and reporting obligations are met
• Submit regulatory filings language
• Assist with regulatory inquiries, investigations, arbitrations, litigation, settlements,
etc.
What are the qualifications for the role?
Required
• Bachelor’s degree is required (preferably in finance, accounting, or a related field)
• Excellent analytical and problem-solving skills
• Sound judgment and an ability to appropriately assess risk
• Exceptional verbal and written communication skills
• Strong organizational and prioritization skills in a deadline-driven environment
Preferred
• Doctor of Jurisprudence (JD)
• Experience with data manipulation such as trend reporting, statistics, data
analytics, etc.
• Series 7, 9, 10, 24, 66
• Securities industry experience
