Legal Assistant

Dexian; Des Peres (MO); On-site; USD 55,000 - 75,000; Full time

Job summary

Dexian is seeking a Senior Legal Assistant to support regulatory compliance and official records processes. The role involves due diligence, monitoring, and coordinating documentation with a focus on accuracy and adherence to policies.

The candidate should have strong communication, interpersonal skills, and the ability to manage deadlines while collaborating across teams. Experience in financial services or securities is valued.

Qualifications

• Knowledge of financial services and securities markets or similarExperience translating to our work environment

Responsibilities

• Conduct due diligence reviews of clients during the account opening process
• Conduct monitoring and surveillance of transactions, employee activities, or communications
• Analyze regulations, rules, and various proposals
• Draft and coordinate regulatory updates and compliance bulletins
• Develop a compliance training program
• Perform tests of the Firm’s processes and controls
• Research and respond to various regulatory inquiries and examinations
• Defuse an investor or client dispute
• Participate in compliance risk assessments and analyze the compliance environment and controls for a line of business

Skills

Strong attention to detail

Communication skills

Interpersonal skills

Time management

MS Office (Excel, Word, Teams)

Education

High School Diploma

Tools

Vanilla system

Job description

As a Senior Legal Assistant, you will strive to maintain cooperative relationships with governmental policy makers and the regulatory and self-regulatory agencies that govern the Firm’s businesses.

Responsibilities

• Conduct due diligence reviews of clients during the account opening process
• Conduct monitoring and surveillance of transactions, employee activities, or communications
• Analyze regulations, rules, and various proposals
• Draft and coordinate regulatory updates and compliance bulletins
• Develop a compliance training program
• Perform tests of the Firm’s processes and controls
• Research and respond to various regulatory inquiries and examinations
• Defuse an investor or client dispute
• Participate in compliance risk assessments and analyze the compliance environment and controls for a line of business

Qualifications

We are looking for dynamic, resourceful, and dedicated candidates with knowledge of financial services and the securities markets and/or similar experiences that can translate to our work environment

• Outstanding communication skills
• Excellent interpersonal skills
• Adaptive and able to meet deadlines on assignments and change priorities as required
• Collaborative & able to build effective working relationships with all levels of employees

The contractor will support Official Records (Imaging) operations by performing the following duties:

Document Intake and Validation

• Upload and process documents through the Vanilla system.
• Review system-generated recommendations to identify potentially missing or incomplete documentation.

Issue Tracking and Documentation

• Record findings, missing document notifications, and system feedback from Vanilla in designated shared tracking tools and documentation repositories.

Stakeholder Coordination

• Communicate with business stakeholders to resolve missing documentation issues.
• Provide guidance on remediation steps and ensure required documents are properly scanned and uploaded into the official records system.

Imaging Quality Review and Correction

• Review documents that have been incorrectly imaged, indexed, or classified within the official records repository.
• Perform corrective actions to ensure records are complete, accurate, and compliant with established standards.

Records Management Compliance Support

• Review Records and Information Management (RIM) requirements and procedures.
• Assist teams in meeting compliance requirements and transitioning to new records management processes and systems.

Skills:

• Strong attention to detail and accuracy when reviewing and processing records
• Ability to follow documented procedures and work instructions
• Proficiency with MS Office applications, including Excel, Word, and Teams
• Problem-solving skills with the ability to identify and resolve documentation gaps

Education:

-

High School Diploma: 2- or 4-year college degree preferred

Dexian is a leading provider of staffing, IT, and workforce solutions with over 12,000 employees and 70 locations worldwide. As one of the largest IT staffing companies and the 2nd largest minority-owned staffing company in the U.S., Dexian was formed in 2023 through the merger of DISYS and Signature Consultants. Combining the best elements of its core companies, Dexian's platform connects talent, technology, and organizations to produce game-changing results that help everyone achieve their ambitions and goals.

Dexian's brands include Dexian DISYS, Dexian Signature Consultants, Dexian Government Solutions, Dexian Talent Development and Dexian IT Solutions. Visit https://dexian.com/to learn more.

Dexian is an Equal Opportunity Employer that recruits and hires qualified candidates without regard to race, religion, sex, sexual orientation, gender identity, age, national origin, ancestry, citizenship, disability, or veteran status