Paralegal – Regulatory Affairs

Paralegal – Regulatory Affairs

Requirements

• Use clear and effective verbal communications skills without supervision and provide technical guidance when required on expressing ideas, requesting actions and formulating plans or policies.
• Support business processes without supervision by understanding and effectively using standard office equipment and standard software packages, while providing technical guidance as needed.
• Work without supervision and provide technical guidance when required on analyzing data trends for use in reports to help guide decision making.
• Work with guidance (but not constant supervision) to plan, organize, prioritize and oversee activities to efficiently meet business objectives. Excellent organizational skills and attention to detail.
• Work without supervision and provide technical guidance when required on acquiring, organizing, protecting and processing data to fulfill business objectives.
• Work without supervision and provide technical guidance when required on interpreting and applying knowledge of laws, regulations and policies in area of expertise.
• Work with guidance (but not constant supervision) to develop appropriate plans or perform necessary actions based on recommendations and requirements. Excellent time management skills with a proven ability to meet deadlines.
• Use an understanding of numerical concepts to perform mathematical operations such as report analysis with guidance (but not constant supervision).
• Use clear and effective writing skills without supervision and provides technical guidance when required on expressing ideas, requesting actions and formulating plans or policies.
• Ability to function well in a high-paced environment.
• Ability to maintain confidentiality, and to exercise discretion and good judgment.
• Proficient with Microsoft Office Suite or related software.
• Work with guidance (but not constant supervision) to develop, monitor, interpret and understand policies and procedures, while making sure they match organizational strategies and objectives.

Responsibilities

• Primary responsibility for case management in collaboration with attorneys.
• Meet with attorneys, clients, and other professionals to discuss assigned cases or projects.
• Prepare, organize, store, and retrieve matter files, which may include information and documents responsive to regulator and other third-party requests, background information, witness statements, pleadings, and other items. Gather, organize and analyze documents and data using preset tools, methods, and formats. Involves working independently.
• Ensure compliance with current company-wide document management systems.
• Assist attorneys with matter preparation for proceedings.
• Use data management systems to access specific information as and when required.
• Prepare moderately complex documents using a variety of applications for technology devices, such as standard office software. Also responsible for gathering and summarizing data for reports.
• Coordinate with other paralegals to develop efficient procedures/communications to stream-line processes and satisfy various Legal department needs.
• Use the internal communications system to access specific information.
• Use the external communications system to access and supply specific information.
• Build effective working relationships within the internal client organization and contribute to the management of the partnering relationship, delivering high-quality professional services within established routines or as part of an agreed project.
• Develop own capabilities by participating in assessment and development planning activities as well as formal and informal training and coaching. Develop and maintain an understanding of relevant technology, external regulation, and industry best practices through ongoing education, and reading specialist media.

Preferred Qualifications

• Associates degree and a minimum of 3-5 years of experience in a law firm or legal department in a financial planning, investment management or other financial services environment.
• An equivalent combination of experience, education, and/or training approved by Human Resources.