Contract Regulatory Compliance Paralegal - (US-NJ-Roseland - 07068)

Minimum Education: None
Job Type: Full Time
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Responsibilities and Requirements : Contract Regulatory Compliance ParalegalThe candidate will be responsible for coordinating regulatory, licensing, and other legal compliance of the company's Retirement Services. Interfaces with Legal Department lawyers, company's Broker Dealer associates and company's Retirement Services business people to establish and manage compliance programs for company's Retirement Services. Assist the Senior Regulatory Compliance Analyst in all matters related to Broker Dealer and FINRA compliance for company's Retirement Services. Manages the licensing of the applicable company's Retirement Services associates and related ongoing compliance matters in connection with regulated activities for licensed associates. Manages obtaining and maintaining registrations, including continuing education for licensed associates and reviewing confirmation reports regarding continuing education exams. Manages the new hire process for licensed company's Retirement Services associates, including Webcrd of U-4; terminations and transfers and coordination of new hire packages for recruiters. Manages other regulatory compliance issues tasks such as monitoring trading confirmations; maintaining compliance files; handling the company's Broker Dealer mail in accordance with FINRA regulations; maintaining the master Broker Dealer list and organization charts as required by FINRA; review Broker Dealer business cards for compliance and review simple disclosures of licensed producers in corporate transactions. Maintains the compliance files, corporate books, and other relevant information for the company's Broker Dealer as required by FINRA and in connection with state securities department and FINRA audits. Performs other related duties as assigned. Interfaces regularly with Retirement services Legal Department attorneys and the Senior Regulatory Compliance Analyst on all regulatory compliance matters to establish the general framework for handling each matter. An effective Regulatory Compliance Paralegal must possess sound judgment to know when to interface with the Legal Department attorneys, other members of the Legal Department, or other company's associates for guidance.

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