Compliance Paralegal - Financial Services - New York City, New York United States - 42500


Job #: 42500
Title: Compliance Paralegal - Financial Services
Job Location: New York City, New York - United States
Employment Type:
Salary: $70,000.00 - $85,000.00 - US Dollars - Yearly
Employer Will Recruit From: Nationwide
Relocation Paid?: Negotiable


Experience and Skills

  • Bachelor's Degree from an accredited University required, preferably in business, law or related field
  • 5+ years paralegal experience or administrative support role equivalent required; Paralegal certification preferred
  • Knowledge of financial institution products and services, regulatory laws, rules, regulations and guidance required
  • Prior experience in financial services or securities industry environment highly preferred
  • Heavy calendar and scheduling experience
  • Assertive with strong and effective communication skills, both written and verbal
  • Highly proficient in MS Office including Word, PowerPoint, and Outlook; basic Excel skills
  • Strong organizational skills and meticulous attention to detail
  • Ability to handle confidential information with discretion and manage interactions with executives and colleagues with high level of tact and professionalism
  • Proactive with the ability to complete tasks with little supervision
  • Team-oriented with the ability to work in a demanding and fast-paced environment
  • Ability to work in a constant state of alertness and safe manner


Responsibilities include, but are not limited to:

  • Schedule and organize important meetings involving legal, compliance, surveillance and regulatory matters as well as human resources, corporate governance, marketing and public relations, and other departments
  • Manage multiple projects involving substantive work while assisting CCO with reviewing, amending and finalizing agreement and other documents with clients and vendors
  • Maintain files including client files, Board files, vendor files and others as necessary
  • Write business correspondence, sort, prioritize, and summarize incoming intra-office communication and documents that require follow-up, action, and/or signature
  • Track and organize follow-up items to ensure their completion
  • Compile bimonthly financial reports, prepare executive summaries and presentations, and internal/external correspondence and memos
  • Communicate any issues requiring escalation to CCO in a timely fashion and be prepared to recommend solutions
  • Manage the CCO’s calendar and scheduling, including travel arrangements
  • Prepare and review expense reports for executives and their direct reports
  • Handle sensitive situations with professionalism, tact, diplomacy, and good judgment while working independently with little or no supervision
  • Perform other duties as required


The Compliance Department is seeking a Paralegal to support the Chief Compliance Officer. The successful candidate will be proactive with the ability to complete tasks with little supervision. The ideal candidate should also be extremely organized, attentive to detail, and have the ability to work in a demanding and fast-paced environment while handling confidential information with tact and discretion.

University - Bachelor's Degree/3-4 Year Degree


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