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Lead Paralegal, Regulatory Affairs -2400548

Description

Job Summary

The Regulatory Affairs Group within the Raymond James legal department is seeking an experienced, motivated team-player for a Lead Paralegal position. The Regulatory Affairs Group handles regulatory inquiries and enforcement matters as well as certain internal investigations across all lines of business for Raymond James. The successful candidate will possess the ability to perform a variety of advanced regulatory support activities, including gathering, organizing and analyzing documents and data and preparing correspondence and productions to regulatory agencies. Lead paralegals have a range of responsibilities with respect to case management through the full life cycle of a regulatory or internal investigation and work collaboratively with attorneys, other paralegals, and administrative assistants to efficiently and effectively manage the team’s portfolio. Extensive contact with internal clients and personnel and some external parties including outside counsel and regulators is required to gather information and assist the team in responding to regulatory matters. 

Essential Duties and Responsibilities

  • Primary responsibility for case management in collaboration with attorneys. 
  • Leads the work of others and provides on-the-job paralegal training.
  • Coaches, mentors, and works collaboratively with other paralegals.
  • Reviews regulatory requests and prepares draft responses for review by legal counsel.
  • Prepares or assists in preparing statistical and narrative reports by performing information gathering and analysis. 
  • Coordinates with other Paralegals to develop efficient procedures/communications to stream-line processes and satisfy various Legal department needs.
  • Conducts research utilizing agency websites (Westlaw) to retrieve factual information for a case or transaction.
  • Coordinates outside services, either directly or through support departments, and act as a liaison with involved third parties.
  • May provide training to new paralegals and new attorneys on legal department procedures and technical aspects of the paralegal area of expertise.
  • Promotes effective work practices and work as a team leader.
  • Maintain a library of preapproved documents, contracts and clauses, templates and historical documents and revise material as needed.
  • Create and maintain internal case databases, run searches on internal and external document databases and systems, cull relevant information from a variety of resources.
  • Oversees the gathering, organizing, summarizing and indexing of legal and supporting documentation for internal and external legal counsel.
  • Prepares correspondence, discovery requests and responses, settlement agreements, and other related documents.
  • May participate in meetings and interviews in connection with regulatory and internal matters and draft summaries and/or take detailed notes. 
  • Reviews outside counsel and vendor invoices for discrepancies and approve for payment.
  • Research, compiles information and prepares responses to regulatory authorities.
  • May obtain witness statements.
  • Reviews outside counsel invoices and tracks actual expenses and compares to budget.
  • Ensures that the on-going status of cases is maintained in the case management system.
  • Maintains familiarity with current paralegal practices and methodologies.
  • Operates standard office equipment and uses required software applications.
  • Performs other duties and responsibilities as assigned.

Qualifications

Knowledge, Skills, and Abilities:

Knowledge of

  • Laws, legal codes, precedents, and government regulations.
  • Fundamental business practices and concepts that impact the success and profitability of the firm.
  • Advanced concepts, practices and procedures of the paralegal profession.
  • Investment concepts, practices and procedures used in the securities industry.
  • Principles of banking and finance and securities industry operations.
  • Financial markets and products.
  • Legal experience with law firm or in-house legal department relevant to financial services legal practice is preferred. 

Skill in

  • Highly skilled in legal research and analyzing facts and information, and resolving problems as they arise
  • Reviewing regulatory requests and subpoenas and preparing draft responses.
  • Gathering, organizing, summarizing, and indexing large volumes of information.
  • Preparing correspondence, discovery requests and responses, settlement agreements, and other related documents.
  • Assisting legal counsel at proceedings and meetings.
  • Obtaining witness statements.
  • Tracking expenses and comparing to budget.
  • Maintaining information in an automated case management system.
  • Operating standard office equipment and using required software applications.

Ability to

  • Maintain confidential information.
  • To establish and maintain effective working relationships. Coach, mentor and lead the work of others and provide paralegal training.
  • To review the work of other paralegal and provide constructive feedback.
  • Maintain professional currency.
  • Use analytical and critical thinking skills in reading, interpreting, analyzing and applying information from legal documentation and references.
  • Attend to detail while maintaining a big picture orientation.
  • Attend external meetings or hearings as deemed necessary by your assigned attorney.
  • Interpret and apply policies and identify and recommend changes as appropriate.
  • Organize, manage and track multiple detailed tasks and assignments with frequent changing priorities and interruptions in a fast-paced work environment.
  • Communicate effectively, both orally and in writing.
  • Work independently as well as collaboratively within a team environment.
  • Guide others in handling stressful situations and providing a high level of customer service
  • Establish and maintain effective working relationships at all levels of the organization.
  • Effectively and accurately communicates with team members and other members of the department

Education/Previous Experience

  • Associate degree and a minimum of four (4) years’ experience in a law firm or legal department in a financial planning, investment management or other financial services environment.
  • OR ~
  • An equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

  • Paralegal /Legal Assistant Certificate from an ABA accredited institution.
  • FRP or ability to obtain within 6 months

Raymond James Guiding Behaviors At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view. 

We expect our associates at all levels to:

  • Grow professionally and inspire others to do the same
  • Work with and through others to achieve desired outcomes
  • Make prompt, pragmatic choices and act with the client in mind
  • Take ownership and hold themselves and others accountable for delivering results that matter
  • Contribute to the continuous evolution of the firm

At Raymond James – as part of our people-first culture, we honor, value, and respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic selves, our organization, clients, and communities thrive. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs. 

Job

Legal

Primary Location

US-FL-St. Petersburg-Saint Petersburg

Other Locations

United States

Organization

Legal

Schedule

Full-time

Shift

Day Job

Travel

Yes, 5 % of the Time

Salary Range: CO, NY, CA, WA (based on Education, Work Experience, and Geographic Location) 70,000 - 80,000

#LI-AM1

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Confirmed 6 hours ago. Posted 30+ days ago.

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