Regulatory Paralegal

About the role

Under general supervision of the Managing Director & Deputy Chief Compliance Officer and assigned attorneys, the paralegal will work primarily on regulatory compliance matters. A paralegal is expected to perform all responsibilities with a commitment to providing superior service to the firm’s clients, advisors and staff, including the legal and compliance professionals, to maintaining an atmosphere of teamwork and to effecting continuous improvement. Above all, a paralegal must fulfill the needs of the firm in a manner which is consistent with the firm’s visions and values.

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
• Ability to manage multiple priorities and adjust to changing priorities in a professional manner; ability to work well under pressure, facilitate solutions and meet deadlines and milestones
• Ability 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
• Ability 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

Benefits

• Competitive total compensation and generous retirement plan contributions
• Health and Welfare benefits (medical, dental, vision, life and disability)
• Tax-efficient vehicles to cover out-of-pocket health care costs, commuting expenses and dependent care expenses
• Wellness programs (fitness reimbursement, Employee Assistance Program)
• Access to discounted voluntary benefits that provide supplemental coverage for a variety of situations

Schedule

In-Office Requirement: Employees are required to follow the in-office work schedule. Currently, OHA’s Legal and Compliance team in New York follows a hybrid model where employees work in-office Monday through Thursday. Employees have the flexibility to work remotely on Fridays. This schedule is subject to change based on organizational needs and policies.