Senior Regulatory Compliance & Records 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

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.