Ref No.: 18-02921
Location: LONG ISLAND CITY, New York
Position Type:Contract
Start Date / End Date: 07/16/2018 to 12/31/2018

TSR Consulting is seeking a Paralegal for a Financial Client in San Antonio, TX-

Direct Applicants Only
Long Term Consulting Role


Must be able to multi-task- do heavy research and accuracy is paramount.

Overview:
  • Client provides financial planning and wealth management services via our branch based Financial Advisors and Centralized service centers.
  • Will lead efforts to dramatically expand our personal wealth management capabilities and provide customers with simple, transparent solutions.
  • The goal is to lead the industry in client-centric investment solutions.
  • The team also provides an important advisory function to ensure best practices and prevent litigation and regulatory liability.
  • This position reports to a Senior Control Officer in the Compliance and Controls unit in San Antonio.
  • The candidates will support the fulfillment of regulatory record requirements for Client investment advisory business.
    Team members work closely with colleagues in other regions around the country.
Responsibilities:
  • Provide paralegal and administrative support to the Compliance and Control Unit supporting the business.
  • The individual will be required to assist and take direction primarily from Sr. Control Officer in San Antonio but also less frequently from other compliance officers and regulatory attorneys in New York requiring paralegal assistance in responding to regulatory inquiries, on behalf of Client Group, including Client Markets and Securities Services, Client Corporate and Investment Banking and Client Transactional Services.
  • Liaises with internal support functions (e.g. Compliance, Finance, Risk and Audit, as well as other lawyers throughout the firm), and is responsible for working independently to gather information and documents in order to respond to inquiries as it pertains to the DOL Fiduciary Rules .
  • Will assists in opening and closing matters, tracking implementation changes and resolutions, and keeping metrics for the department.
Qualifications:
  • Bachelor's Degree required and 3+ years experience working as a paralegal in either a law firm or corporate legal department or similar experience.
  • Financial Services experience preferred.
  • Must possess strong interpersonal, communication (both oral and written) and organizational skills.
  • Must be detail oriented, able to adhere to tight deadlines, successfully multitask, and use discretion with respect to confidential information.
Preferred Qualifications:
  • Familiarity with investment advisory regulations.
  • Experience with completion of detailed legal/regulatory records.
  • Experience with marketing and communication materials.
Technical Skills:
Microsoft Office Suite (Word, Excel, PowerPoint), Microsoft Outlook, SharePoint, and Adobe Professional