Looking for a Compliance Paralegal with a key focus in developing and implementing compliance programs as well as general compliance administration work.
This is a Part-Time role, approx 35 hours per week.
Reporting to the General Counsel, you will:
Help to develop a cutting-edge FinTech marketplace
Work cross-functionally with legal, deal, product, technology, and marketing teams
Gain client exposure and the opportunity to communicate with customers
Assist with regulatory examinations, securities law matters, reviewing advertising and marketing materials,
Update, test, maintain and develop policies and procedures proactively to meet changing regulatory milestones.
Engage in risk-based-monitoring, communications review and help the firm meet other compliance requirements
Prepare Form ADV, 5123s, and other filings
Gain project management experience, assess and implement new technologies, identify opportunities for automation and process optimization, and improve our private marketplace
Provide training and advocate for compliance throughout the organization
3+ years’ experience in a compliance role at a broker-dealer, investment advisor, investment bank, or asset manager; bonus points if you have also worked at the SEC’s Division of Examinations (formerly OCIE) or at FINRA or the OSC.
Experience reviewing marketing materials and advertising, including performance advertising
Working knowledge of securities laws, private placements, FINRA rules, SEC rules and AML regulations
Comfort with adapting existing guidance to new markets and desire to learn about, and research, new and emerging issues
Collaborative, team player, with outstanding initiative, organization skills and attention to detail
Outstanding judgment, uncompromising integrity and discretion
Strong verbal and written communications skills, enthusiasm and a desire to teach about legal obligations and compliance topics
Demonstrates flexibility and the ability to prioritize, identify and react to critical issues, and understands time-sensitive deal environment
Strong proactive orientation; identify potential problems and proposed solutions, takes ownership, and can drive processes to conclusion