A Paralegal or Legal Assistant assists attorneys and law offices with a variety of tasks ranging from administrative support to legal research and writing. Maintains and organizes files or file databases. Conducts legal or other background research, assists with preparation for trials or hearings, and drafts documents to be filed. Uses software for electronic discovery of materials such as email for a trial. May specialize in a particular area of the law such as corporate or criminal law, family law or real estate law.
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 Outstanding communication skills Excellent interpersonal 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 The contractor will support Records (Imaging) operations by performing the following duties: Document Intake and Validation Upload and process documents through the Vanilla system. Review system-generated recommendations to identify potentially missing or incomplete documentation. Issue Tracking and Documentation Record findings, missing document notifications, and system feedback from Vanilla in designated shared tracking tools and documentation repositories. Stakeholder Coordination Communicate with business stakeholders to resolve missing documentation issues. Provide guidance on remediation steps and ensure required documents are properly scanned and uploaded into the official records system. Imaging Quality Review and Correction Review documents that have been incorrectly imaged, indexed, or classified within the official records repository. Perform corrective actions to ensure records are complete, accurate, and compliant with established standards. Records Management Compliance Support Review Records and Information Management (RIM) requirements and procedures. Assist teams in meeting compliance requirements and transitioning to new records management processes and systems.
Skills:
Strong attention to detail and accuracy when reviewing and processing records Ability to follow documented procedures and work instructions Strong written communication skills for documenting findings and remediation activities Verbal communication skills with the ability to engage stakeholders professionally Organizational and time management skills Proficiency with MS Office applications, including Excel, Word, and Teams Problem-solving skills with the ability to identify and resolve documentation gaps Ability to work independently with minimal supervision Best regards, Dexian stands at the forefront of Talent + Technology solutions with a presence spanning more than 70 locations worldwide and a team exceeding 10,000 professionals. As one of the largest technology and professional staffing companies and one of the largest minority-owned staffing companies in the United States, Dexian combines over 30 years of industry expertise with cutting-edge technologies to deliver comprehensive global services and support. Dexian connects the right talent and the right technology with the right organizations to deliver trajectory-changing results that help everyone achieve their ambitions and goals. To learn more, please visit https://dexian.com/ . Dexian is an Equal Opportunity Employer that recruits and hires qualified candidates without regard to race, religion, sex, sexual orientation, gender identity, age, national origin, ancestry, citizenship, disability, or veteran status.
