Wealth Management Investigations Paralegal
Core
Support attorneys in handling internal investigations involving potential employee misconduct and regulatory enforcement matters for the Wealth Management business.
Role type
Paralegal (Legal & Compliance)
Builds
Regulatory responses, document productions, and compliance filings for the Wealth Management segment.
Domain
Financial Services / Legal Compliance
Deliverable
client delivery
Required skills
Document collection and preservation, regulatory response management, deadline management, written response drafting, matter management system updates, regulatory filing coordination, data compilation and reporting, presentation creation
Preferred skills
Experience in handling regulatory responses and reporting, knowledge of broker-dealer rules and securities regulations
Technologies
Microsoft Outlook, Word, Excel, PowerPoint, matter management systems