Senior Legal Specialist, Financial Services

Benjamin F. Edwards; St. Louis (MO); Sur place; USD 90 000 - 150 000; Plein temps

Avantages offerts par ce poste

Health insurance

Dental insurance

Vision insurance

401(k)

Life insurance

Disability

Paid time off

Résumé du poste

Benjamin F. Edwards in St. Louis seeks a Senior Legal Services Specialist to support counsel and the Manager of Legal Services. The role involves handling complex legal matters and analytics in the financial services sector.

The position requires strong research, communication, and organizational skills, with experience in regulatory filings and liaison work with third-party counsel. A proactive, independent approach is essential.

Qualifications

• Bachelor’s degree from an accredited institution.
• 10+ years of experience in the financial services industry or compliance-related experience.
• Series 7 license required; Series 9, 10 and 24 preferred.

Responsabilités

• Analyze, respond, and report on client inquiries, complaints, claims, disputes, cases and/or proceedings.
• Analyze, respond, and report on regulatory inquiries and examinations.
• Consult with and provide assistance to all areas of 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.
• Review and manage legal matters at the direction of counsel and in support of the firm’s operating units.
• Prepare and submit regulatory filings.
• Research, investigate and resolve matters involving account documentation, including but not limited to approval of estate planning documents and matters relating to authority of individuals to represent or act on behalf of client accounts, or to otherwise engage in transactions or dispose of assets in client accounts.
• Assist in internal investigations at the direction of counsel.
• Manage matters relating to the exploitation of seniors and vulnerable adults.
• Administer holds or other restrictions on client accounts.
• Communicate with third parties including outside counsel, clients, and regulators.
• Coordinate matters with other business and support divisions of the Firm.
• Maintain division files and file management system.
• Prepare and submit Rule 4530 and similar regulatory filings.
• Provide litigation support.
• Support and collaborate with Manager of Legal Services.

Connaissances

Industry regulations

Investment products

Research & analysis

Communication skills

Organizational skills

Independent work

Formation

Bachelor’s degree

Outils

Microsoft Office

CRM systems

Client account platforms

Description du poste

Benjamin F. Edwards in St. Louis seeks a Senior Legal Services Specialist to support counsel and the Manager of Legal Services. The role involves handling complex legal matters and analytics in the financial services sector.

The position requires strong research, communication, and organizational skills, with experience in regulatory filings and liaison work with third-party counsel. A proactive, independent approach is essential.