What are the responsibilities and job description for the Financial Services Expert position at STONE Resource Group?
About the Role
As a Senior Legal Assistant at STONE Resource Group, you will be responsible for ensuring the organization's compliance with regulatory requirements.
You will work closely with the legal and compliance team to analyze regulations, rules, and policy proposals to assess their impact on the organization.
Main Responsibilities:
- Conduct due diligence reviews during the client account opening process.
- Monitor transactions, employee activities, and communications for compliance.
- Analyze regulations, rules, and policy proposals to assess their impact.
- Develop and coordinate regulatory updates and compliance bulletins.
- Create and implement a compliance training program.
- Perform testing of internal processes and controls.
- Respond to regulatory inquiries and examinations.
- Assist in resolving investor or client disputes.
- Participate in compliance risk assessments.
Requirements and Qualifications:
A Bachelor's degree is required, along with a strong understanding of financial services and regulatory compliance.
The ideal candidate will possess excellent communication, interpersonal, and analytical skills.
A collaborative mindset with strong relationship-building skills is essential.
Preferred Skills:
Experience in compliance, regulatory analysis, or legal support is desirable.
Proficiency in handling confidential data with accuracy is essential.
This role offers a great opportunity to contribute to a dynamic and fast-paced environment, working with a highly regulated industry.
