Paralegal - Investment Management & Securities

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

Job DetailsJob Location: Hamilton, NJ 08619Salary Range: $60,000.00 - $80,000.00 SalaryOverview:

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.

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.

Compensation & Benefits

Stark & Stark is committed to the health and well-being of its staff members.

• The firm offers a full range of benefits, including medical, prescription, dental and vision coverage.


• The firm also provides generous paid time off, life insurance, accidental death and dismemberment, disability benefits and 401(k) plan with firm contributions.

Compensation will be determined based on multiple factors, including candidate experience, qualifications, accomplishments, and location. Employees may also be eligible for annual performance-based merit increases rewarding individual and firm achievements.

Equal Opportunity Employer

Stark & Stark’s policy is to make employment decisions based on merit, ability, and competence.

Except where required by law, employment practices shall not be influenced or affected by an applicant’s or staff member’s race, color, religion, sex, national origin, age, or any other characteristic provided by law.

Qualified minorities, females, veterans, and attorneys with disabilities are encouraged to apply.

It is also our policy to provide a work environment that is free of harassment of any kind, including that which is sexual, age-related, or ethnic.

Mansfield Rule

As part of its continued efforts to actively recruit and advance the recruitment, development, and promotion of diverse lawyers Stark & Stark is participating in Diversity Lab’s Midsize Mansfield Rule initiative. The Mansfield Rule is named for Arabella Mansfield, the first woman admitted to practice law in the United States. It measures whether law firms affirmatively consider diverse lawyers for hiring, advancement, and significant leadership roles. Under this initiative, we strive for a candidate pool consisting of at least 30% women, attorneys from underrepresented racial and/or ethnic groups, lawyers with disabilities, and/or LGBTQ+ attorneys. The Mansfield Rule initiative also includes a commitment by Stark & Stark to be transparent in our internal governance, particularly with our selection guidelines and job descriptions for firm management roles and committees.