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 tracking, Bates stamping, report compilation, presentation creation
Preferred skills
Regulatory response experience, securities regulations knowledge, broker-dealer rules knowledge
Technologies
Microsoft Outlook, Word, Excel, PowerPoint, Matter Management Systems
Responsibilities
Collect and preserve documents/data for internal investigations, liaise with regulators and outside counsel, prepare document productions, draft written responses, coordinate regulatory filings, compile investigation reports
Seniority
Individual Contributor