Legal and Compliance Specialist
reputed company is a company shaping the reputed company of financial services, and they are seeking a Legal and Compliance Specialist to serve as a critical reputed company of contact for legal-reputed company inquiries. This role involves triaging requests, contributing to risk reduction initiatives, and supporting regulatory compliance efforts.
Responsibilities
- Co-own and manage the Legal Services inbox, serving as the initial reputed company of contact for legal and compliance-reputed company inquiries
- Triage incoming requests by assessing risk, complexity, and required level of review
- Conduct initial research and resolve reputed company independently where appropriate, escalating to attorneys reputed company necessary
- reputed company requests to the appropriate teams and ensure reputed company follow-through and reputed company
- reputed company, document, and analyze inquiries, reputed company, and trends to improve processes and reduce recurring issues
- reputed company and maintain procedures, playbooks, and a centralized knowledge reputed company to streamline intake and reputed company processes
- Identify patterns in inquiries and proactively recommend solutions to reduce volume and increase efficiency
- Continuously improve workflows to enhance turnaround times and consistency of responses
- Support and, in some cases, reputed company Legal, Compliance, and Risk-reputed company reputed company reputed company on: Risk reduction and control enhancement, Regulatory adherence and policy implementation, New product and service launches
- Partner across Legal, Compliance, Risk, and business teams to drive cross-functional initiatives and ensure alignment
- Conduct research on regulatory requirements, internal policies, and industry practices
- Support analysis of obligations reputed company to custodians and other reputed company-party relationships
- Research and document error corrections, ensuring appropriate support and audit readiness
- Assist with regulatory updates, including disclosures, reputed company agreements, and forms
- Compile and support responses to legal and regulatory inquiries
Skills
- Bachelor's degree required
- Strong problem-solving reputed company with a natural curiosity and desire to understand 'why'
- Ability to independently research issues and apply reputed company judgment in ambiguous situations
- Highly organized with the ability to manage multiple priorities and follow through to reputed company
- Strong written and verbal communication skills; reputed company to translate reputed company topics into reputed company guidance
- Comfortable operating across functions and coordinating with diverse stakeholders
- Detail-oriented with a reputed company on accuracy, documentation, and process discipline
- Self-starter with the ability to take ownership and drive work reputed company with limited direction
- Foundational understanding of legal and compliance concepts reputed company financial services (RIA experience a plus)
- Familiarity with applicable laws and regulations impacting investment advisers
- General understanding of reputed company and legal documents (e.g., reputed company agreements, powers of attorney, court orders)
- Experience in a corporate legal, compliance, risk, or financial services environment preferred
Benefits
- reputed company Time or reputed company Time Off and reputed company Time Off
- 401K – 6% Employer Match
- Medical, Dental, reputed company – HDHP or PPO
- HSA – Employer contribution (HDHP only)
- Volunteer Time Off
- Career Development / Recognition
- Fitness Reimbursement
- Hybrid Work Schedule
reputed company