Compliance Paralegal – Financial Services & Reporting

Stark & Stark P C; Hamilton (NJ); On-site; USD 60,000 - 80,000; Full time

Job summary

Stark & Stark P C in Hamilton, NJ is seeking a Compliance Support professional to assist in the execution and tracking of the firm’s annual compliance program and to generate reports related to compliance and client matters.

Responsibilities include monitoring key tasks and deadlines, assisting with regulatory filings (including Form ADV, U4 & U5), drafting client correspondence, organizing digital client files, and maintaining accurate records with strong attention to detail in a financial

Qualifications

• Bachelor's degree, Associate's degree, or Paralegal Certificate required.
• 3-5 years of experience in financial services, law, or related field (preferred).
• Proficient in Microsoft Office, especially Excel.
• Strong numeracy, analytical, and organizational skills with high attention to detail.
• Familiar with financial/investment terminology.
• Quick learner with ability to master new software.
• Reliable self-starter with strong work ethic and follow-through.
• Able to multitask, prioritize, and perform under pressure.
• Team-oriented with professional client interaction skills.

Responsibilities

• Assist in the execution and tracking of the Firm’s annual compliance program.
• Generate and maintain reports related to compliance and client matters.
• Monitor and track key compliance program tasks and deadlines.
• Assist with the preparation and filing of client regulatory documents, including Form ADV, Forms U4 & U5, and Policies and Procedures manuals.
• Answer and direct phone calls in a courteous and professional manner.
• Draft, edit, and manage client correspondence.
• Review and organize client email archives and relevant communications.
• Organize, maintain, and update digital client files.
• Handle other responsibilities as directed.

Skills

Excel

Numeracy

Analytical skills

Organizational skills

Team interaction

Education

Bachelor's degree

Associate's degree

Paralegal Certificate

Tools

Microsoft Office Suite

Job description

Stark & Stark P C in Hamilton, NJ is seeking a Compliance Support professional to assist in the execution and tracking of the firm’s annual compliance program and to generate reports related to compliance and client matters.

Responsibilities include monitoring key tasks and deadlines, assisting with regulatory filings (including Form ADV, U4 & U5), drafting client correspondence, organizing digital client files, and maintaining accurate records with strong attention to detail in a financial