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Thursday Dec 09th


Compliance Paralegal

$50.00 / hr


Remote / 30 hrs / Part-Time / Ongoing / Mid-Level (5-15 Years)


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

Required Experience:

  • 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
  • Series 7 and Series 24 licenses
  • Proficient in Microsoft PowerPoint, Excel & Word


Practice Areas

Commercial Compliance, Corporate Compliance, Corporate Governance


Skills

Corporate Compliance, Regulatory Compliance, Policy Implementation


Industries

Private Equity, Technology


Seniority

Mid-Level (5-15 Years)


Location

Remote


Start Date

This Month


Length

Part-Time


Technologies

Slack, Google Docs, Microsoft Word, Microsoft Excel

August 19, 2021 at 11:56 am

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