Financial Investigator
Overview: We are seeking a highly motivated and dynamic Senior Legal Assistant with a strong background in investigations and financial services to join our team. The successful candidate will play a critical role in addressing legal issues related to clients, financial advisers, branches, and the firm, conducting thorough investigations to resolve complex matters efficiently. This role requires excellent analytical, communication, and problem-solving skills, as well as a deep understanding of financial services and the regulatory landscape.
Key Responsibilities:
- Conduct in-depth due diligence reviews of clients during the account opening process.
- Monitor and analyze transactions, employee activities, and communications to ensure compliance with relevant regulations.
- Investigate and analyze legal issues arising from disputes between clients and financial advisers or branches.
- Develop investigative strategies to identify core problems and recommend appropriate solutions.
- Draft and coordinate regulatory updates, compliance bulletins, and other relevant communications.
- Research and respond to regulatory inquiries and examinations, ensuring compliance with legal and regulatory standards.
- Develop and implement compliance training programs for employees and stakeholders.
- Perform testing of the Firm's processes and controls to ensure adherence to legal and regulatory requirements.
- Defuse investor or client disputes and work to resolve issues before they escalate.
- Participate in compliance risk assessments, analyzing the compliance environment, and proposing effective controls for the business line.
Qualifications:
- Strong background in investigative work, particularly in the financial industry.
- Experience with legal support in a financial services or securities environment.
- Outstanding communication skills, both written and verbal.
- Exceptional analytical and problem-solving abilities with a critical thinking approach.
- Ability to conduct thorough investigations, ask the right questions, and uncover core issues.
- Detail-oriented with the ability to understand and address large-scale issues quickly.
- Ability to adapt to changing priorities and meet deadlines in a fast-paced environment.
- Proven track record of building effective working relationships across all levels of the organization.
- Proactive, self-driven, and committed to professional development.
Required Skills:
- Investigative skills (Financial Industry/Legal Cases)
- Strong data entry and confidentiality management
- Legal support and research proficiency
- Team player with a collaborative mindset
- Fast learner with the ability to adapt to new processes
- Detailed, organized, and able to manage multiple priorities
Additional Skills:
- Experience in remediation and resolution of complex legal or regulatory issues
- Administrative support experience in legal or financial sectors
- Familiarity with compliance and regulatory frameworks
- Ability to work effectively in a diverse and dynamic team environment
Ideal Candidate: The ideal candidate will possess significant experience in legal investigations within the financial industry and have a strong ability to assess issues thoroughly and drive them to resolution. They will be able to work independently, ask insightful questions, and use their expertise to guide the firm in addressing and settling disputes effectively.
Overview: We are seeking a highly motivated and dynamic Senior Legal Assistant with a strong background in investigations and financial services to join our team. The successful candidate will play a critical role in addressing legal issues related to clients, financial advisers, branches, and the firm, conducting thorough investigations to resolve complex matters efficiently. This role requires excellent analytical, communication, and problem-solving skills, as well as a deep understanding of financial services and the regulatory landscape.
Key Responsibilities:
- Conduct in-depth due diligence reviews of clients during the account opening process.
- Monitor and analyze transactions, employee activities, and communications to ensure compliance with relevant regulations.
- Investigate and analyze legal issues arising from disputes between clients and financial advisers or branches.
- Develop investigative strategies to identify core problems and recommend appropriate solutions.
- Draft and coordinate regulatory updates, compliance bulletins, and other relevant communications.
- Research and respond to regulatory inquiries and examinations, ensuring compliance with legal and regulatory standards.
- Develop and implement compliance training programs for employees and stakeholders.
- Perform testing of the Firm's processes and controls to ensure adherence to legal and regulatory requirements.
- Defuse investor or client disputes and work to resolve issues before they escalate.
- Participate in compliance risk assessments, analyzing the compliance environment, and proposing effective controls for the business line.
Qualifications:
- Strong background in investigative work, particularly in the financial industry.
- Experience with legal support in a financial services or securities environment.
- Outstanding communication skills, both written and verbal.
- Exceptional analytical and problem-solving abilities with a critical thinking approach.
- Ability to conduct thorough investigations, ask the right questions, and uncover core issues.
- Detail-oriented with the ability to understand and address large-scale issues quickly.
- Ability to adapt to changing priorities and meet deadlines in a fast-paced environment.
- Proven track record of building effective working relationships across all levels of the organization.
- Proactive, self-driven, and committed to professional development.
Required Skills:
- Investigative skills (Financial Industry/Legal Cases)
- Strong data entry and confidentiality management
- Legal support and research proficiency
- Team player with a collaborative mindset
- Fast learner with the ability to adapt to new processes
- Detailed, organized, and able to manage multiple priorities
Additional Skills:
- Experience in remediation and resolution of complex legal or regulatory issues
- Administrative support experience in legal or financial sectors
- Familiarity with compliance and regulatory frameworks
- Ability to work effectively in a diverse and dynamic team environment
Ideal Candidate: The ideal candidate will possess significant experience in legal investigations within the financial industry and have a strong ability to assess issues thoroughly and drive them to resolution. They will be able to work independently, ask insightful questions, and use their expertise to guide the firm in addressing and settling disputes effectively.