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Senior Legal Assistant

  • Full Time, onsite
  • Stockell Consulting
  • United States, United States of America
Salary undisclosed

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Remote, 3.5 month contract, pays $49/hr, must work on W2

Job Title: Sr. Legal Assistant

Duties: As a Senior 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

• Bachelors Degree Required

• Excellent interpersonal and communication 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

All qualified applicants will receive consideration for employment without regard to age, race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.