Compliance Paralegal

Primary Responsibilities

• Serve as Legal and Compliance Group coordinator for certain processes such as compliance manual publications, periodic certifications and calendar entries, role-based access controls for protection of confidential and private information and compliance trainings.
• Create, review and maintain files and other records relating to regulatory compliance, including attorney work product.
• Create, revise and maintain forms and databases relating to confidential and private information and transactions.
• Arrange filings, mailings and service list deliveries with appropriate courts, government agencies and other parties, including filings with the Securities and Exchange Commission and the National Futures Association (generally, via online websites).
• Execute or assist in ad hoc projects, including researching points of fact or law, coordinating inter-departmental meetings, and implementing new processes.

Qualifications

• Commitment to maintaining confidentiality of client and office information and adhering to sound professional conduct
• Strong organizational and time management skills, including the ability to organize self and others
• Strong working knowledge of MS Office Word, Excel, Outlook and PowerPoint; programming is not required
• Familiarity with Adobe Pro
• Familiarity with Diligent is a plus, but not required
• Excellent oral and written communication skills, including the ability to communicate detailed and complex information clearly and in a timely fashion
• Aptitude for and willingness to work on complex matters
• Strong attention to detail
• Able to manage multiple priorities and adjust to changing priorities in a professional manner; able to work well under pressure, facilitate solutions and meet deadlines and milestones
• Able to work independently and with a team
• Willingness and ability to assume new tasks and responsibilities
• Strong analytical and research skills
• Strong service orientation, and an ability to establish and maintain effective working relationships with colleagues, office and firm management, and outside business partners
• Commitment to professional growth and development
• Aptitude for and willingness to learn and use emerging technologies (including AI tools) to support and streamline compliance processes and day-to-day workflows
• Confident and professional demeanor
• Familiarity with the Investment Advisers Act of 1940 is a plus, but not required
• Paralegal training at a top law firm is a plus, but not required