Americas Market Conduct Paralegal
Core
Paralegal supporting regulatory exam managers with regulatory exams, continuous monitoring requests, and ad hoc projects for US market conduct regulators.
Role type
Analyst/Associate level Regulatory Relations Paralegal
Builds
Exam materials, response letters, tracking logs, and internal reports for SEC, CFTC, FINRA, NFA, and state regulators
Domain
Financial Services / Regulatory Compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Microsoft Office (Word, Excel, PowerPoint, Visio), document management, redaction, quality assurance, project tracking, stakeholder coordination
Preferred skills
Experience managing multiple workstreams, attention to detail, organizational skills
Technologies
Microsoft Teams, Zoom, SharePoint, Intralinks
Responsibilities
Prepare and review exam materials for production, draft response letters, update exam tracking logs, Bates stamp documents, facilitate document sharing, review and redact sensitive info, maintain exam metrics
Seniority
Analyst/Associate level