Senior Legal Assistant

Position Overview

We are seeking a highly skilled Senior Legal Assistant to join our team. The ideal candidate will have experience investigating legal complaints, regulatory expertise, and a strong understanding of the financial services industry. The role requires a blend of investigative curiosity, excellent communication skills, and the ability to work collaboratively in a team-oriented environment. As a Senior Legal Assistant, you will play a vital role in managing legal and regulatory issues while working closely with both internal and external stakeholders to ensure compliance with all relevant laws and regulations.

Responsibilities

• Investigate Legal Complaints: Investigate and respond to legal complaints, ensuring that all matters are handled with thorough analysis and attention to detail.
• Data Analysis: Analyze complaint data to identify trends and mitigate risk across the firm.
• Regulatory Compliance: Ensure that all regulatory requirements and reporting obligations are met, including submitting regulatory filings and assisting with inquiries, investigations, arbitrations, litigation, and settlements.
• Due Diligence: Conduct due diligence reviews of clients during the account opening process.
• Monitoring & Surveillance: Monitor transactions, employee activities, and communications for compliance with industry regulations.
• Regulatory Updates: Draft and coordinate regulatory updates and compliance bulletins to ensure the firm remains informed and compliant.
• Compliance Training: Develop and assist in the implementation of a compliance training program for internal teams.
• Process Testing: Perform tests of the firm’s processes and controls to assess compliance and identify areas for improvement.
• Client Disputes: Assist in defusing investor or client disputes and resolve matters efficiently.
• Risk Assessments: Participate in compliance risk assessments and analyze the firm’s environment and controls within the business.

Qualifications

Required

• Bachelor’s degree (preferably in finance, accounting, or a related field).
• Excellent analytical and problem-solving skills with sound judgment and the ability to assess risk appropriately.
• Strong verbal and written communication skills.
• Strong organizational skills, with the ability to prioritize in a deadline-driven environment.
• Ability to work independently and collaboratively with a team.
• A self-starter with a strong commitment to self-development and growth.

Preferred

• JD (Doctor of Jurisprudence).
• Experience with data manipulation, such as trend reporting, statistics, and data analytics.
• Series 7, 9, 10, 24, and 66 licenses.
• Previous experience in the securities industry or financial services sector.

Key Competencies

• Investigative Curiosity: A keen ability to dig deeper into complaints and regulatory issues.
• Team Collaboration: Ability to build effective, supportive relationships with colleagues and work cooperatively in a team environment.
• Risk Management: Strong judgment and the ability to assess and manage compliance risks.
• Attention to Detail: High level of accuracy and attention to detail in all aspects of work.
• Adaptability: Flexible and able to meet deadlines while managing multiple priorities.
• Interpersonal Skills: Strong communicator with the ability to interact effectively with all levels of the organization and external stakeholders.