Americas Market Conduct Paralegal
Core
Assist regulatory exam managers with regulatory exams and continuous monitoring requests, including preparing exam materials, drafting response letters, and maintaining tracking logs.
Role type
Paralegal in Regulatory Relations
Builds
Regulatory exam response materials and tracking documentation for US market conduct regulators
Domain
Financial Services / Regulatory Compliance
Required skills
Microsoft Office proficiency, document management, attention to detail, project management, communication
Preferred skills
Experience supporting multiple staff members, ability to manage multiple workstreams
Technologies
Microsoft Word, Excel, PowerPoint, Visio, Teams, SharePoint, Zoom
Responsibilities
Prepare and review exam materials for production to regulators, Draft response letters, Update and maintain exam tracking logs and folders, Review and redact sensitive information, Facilitate sharing of documents via Teams and Intralinks, Perform quality assurance reviews
Seniority
Analyst/Associate level