Senior Financial Compliance & Legal Services Specialist

Benjamin F Edwards & Co

St. Louis (MO)

On-site

USD 120,000 - 160,000

Full time

2 days ago

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Job summary

Benjamin F. Edwards & Co. is seeking a Senior Legal Services Specialist to support counsel and the Manager of Legal Services in St.

Louis. You will handle complex legal matters and analytics within the financial services space, ensuring accurate responses to inquiries, regulatory matters, and internal investigations. You will collaborate across divisions, manage document review, prepare filings, and assist in case work involving client accounts, estates, and authority to act for clients, with

Qualifications

Bachelor’s degree required; 10+ years in financial services or compliance.
Strong knowledge of industry rules, regulations, and investment products.
Excellent verbal, written, and interpersonal communication skills.
Ability to identify underlying issues and work independently on complex assignments.

Responsibilities

Analyze, respond, and report on client inquiries, complaints, claims, disputes, cases and/or proceedings.
Analyze regulatory inquiries and examinations.
Consult with and assist all areas of the firm on various matters.
Respond to field inquiries and provide assistance.
Communicate with third party counsel.
Research and analyze legal issues as directed by counsel.
Analyze and respond to subpoenas, court orders and requests for information.
Prepare and submit regulatory filings.
Assist in internal investigations and matters involving account documentation and authority to represent or act for client accounts.
Coordinate matters with other divisions and maintain division files.