Work closely with Legal department management and other attorneys to assist with the management of the legal regulatory function. Assist the Legal department management and other attorneys in administrative functions necessary to ensure the processes associated with regulatory functions; namely, rule filings, are managed appropriately.
Primary Duties and Responsibilities:
Provide assistance to the Legal department management by assisting in the preparation of rule filings and notices to the regulators, including but not necessarily limited to: rule filings with both the SEC and the CFTC, advance notices with the SEC and the Board of Governors of the Federal Reserve, and event-driven notices with the SEC.
Assist in the maintenance of legal department records in accordance with company records retention schedule and applicable regulatory requirements.
Update and maintain company materials that reflect the timing and status of corporate priorities that will be the subject of rule filings submitted to the regulators.
Understand, manage, and follow department policies, procedures, and controls, as well as track the updating of same.
Assist with other regulatory projects, as needed.
Draft and provide advice regarding policies, procedures, and memoranda relative to the foregoing and other areas on an as needed basis.
Interface with outside counsel, as needed, with respect to matters described above.
Track and ensure compliance with internal departmental requirements.
Perform internet and legal research as necessary.
Update and maintain electronic corporate files, databases, email, and directories.
Perform other duties as assigned.
Well-organized and capable of handling several substantial assignments at the same time.
Self-starter with ability to work independently as well as on a team and to quickly shift priorities in response to changing business environment or priorities.
Excellent analytical, written and oral communication, and problem-solving skills.
Ability to work collaboratively, including through effective communication, with internal clients from different departments, including risk departments, at various levels of seniority.
Ability to promptly produce high-quality, accurate, and detailed work product.
Ability to work in a capacity with strict privacy and confidentiality requirements.
Proficiency with Microsoft Office software (Excel, Word, PowerPoint)
Education and/or Experience:
Degree from an accredited college or university, with at least 3 years’ experience as a paralegal.
Certificates or Licenses:
Paralegal certificate and/or law firm experience preferred.