Legal Assistant

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 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 #J-18808-Ljbffr Dexian