SR. LEGAL ASSISTANT
Location Desperes MO
6 months contract
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
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
Candidate's day-to-day work The candidate will be working with requested legal documents from stakeholders (these documents will be in different formats like PDF, image, or Word, etc.) . The candidate will find the source of the document and upload it into the EDJ system (might be an AI-powered tool), pull out the info requested by stakeholders and vendors, and save it in the requested files for easy access for the stakeholders.
1. Candidate must have some basic Tech Knowledge (uploading documents into the systems and saving files in folders and able to troubleshoot if any issues arise.)
2. Basic Knowledge and capable of handling different Documents (PDFs, Image Documents, Word Documents)
3. Candidate should be happy to work with the client's systems.
4. The candidate will be working in a structured environment, and he may be working in a repetitive work culture, so the candidate should be accustomed to working in the same routine work.
5. The candidate should have at least 5 years of Professional Work experience.
