Job Summary:The Senior Legal Services Specialist role supports the firm's counsel and Manager of Legal Services. The position will involve handling matters of substantial legal or factual complexity and performing analytics, primarily involving the financial services industry.
Essential Duties & Responsibilities:- Analyze, respond, and report on client inquiries, complaints, claims, disputes, cases and/or proceedings.
- Analyze, respond, and report on regulatory inquiries and examinations.
- Consult with and provide assistance to all areas of firm on various matters.
- Respond to field inquiries and provide assistance.
- Communicate with third party counsel.
- Research and analyze legal issues as directed by counsel.
- Analyze and respond to subpoenas, court orders and requests for information.
- Review and manage legal matters at the direction of counsel and in support of the firm's operating units.
- Prepare and submit regulatory filings.
- Research, investigate and resolve matters involving account documentation, including but not limited to approval of estate planning documents and matters relating to authority of individuals to represent or act on behalf of client accounts, or to otherwise engage in transactions or dispose of assets in client accounts.
- Assist in internal investigations at the direction of counsel.
- Manage matters relating to the exploitation of seniors and vulnerable adults.
- Administer holds or other restrictions on client accounts.
- Communicate with third parties including outside counsel, clients, and regulators.
- Coordinate matters with other business and support divisions of the Firm.
- Maintain division files and file management system.
- Prepare and submit Rule 4530 and similar regulatory filings.
- Provide litigation support.
- Support and collaborate with Manager of Legal Services.
Qualifications:- Strong knowledge of industry rules, regulations, and investment products.
- Able to identify underlying issues in area of expertise.
- Strong research and analytic skills with high attention to detail and accuracy.
- Excellent verbal, written, and interpersonal communication skills.
- Strong ability to organize, multi-task, and prioritize.
- Able to work independently, proactively, and creatively on complex assignments without direct supervision.
- Adept at Intermediate Microsoft Office.
- Proficient in managing commonly used technology platforms, including Client Relationship Management systems, client account platforms, archived electronic communications, and supervision applications.
Education and/or Work Experience:- Minimum Education Required: Bachelor's degree from accredited educational institution.
- Minimum Work Experience Required: 10+ years of experience in the financial services industry or compliance-related experience.
Licenses/Registration:- Minimum Required: Series 7
- Series 9, 10 and 24 preferred
Work Environment:This position requires the ability to work in a stationary position for several hours at a time and the ability to lift up to 25 pounds, occasionally. Some filing is required. The work environment is an air conditioned, smoke-free, office environment. This position routinely uses standard office equipment such as computers, phones, photocopiers and filing cabinets.
#LI-Onsite
