What are the responsibilities and job description for the Senior Legal Assistant position at SBS Creatix?

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.

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