Dispute Advisory Group Paralegal

Our client operates in the Financial sector, with its headquarters rooted strongly in the United States. It has its branches spread to more than 160 countries, providing employment to more than 200k people all over the world. They fall in the Top 15 largest Banks in the United States. Its core business is to provide various Banking and Financial services to its clients. It is known to have one of the biggest balance sheet banks in the world (among others) aiding it to offer 360-degree financial services to its clients.

Role Description:

• The Lead Paralegal position will provide support for Dispute Advisory Group (DAG), a group of attorneys supporting all aspects of complaint-handling and pre-litigation disputes for our client’s retail broker-dealer, CGMI, its Registered Investment Advisor, and its licensed insurance agencies.
• The DAG attorneys serve to provide advice and counsel to various lines of business, regarding the handling of investment-related customer complaints.
• This is a developing professional role which integrates in-depth specialty knowledge with a solid understanding of industry standards and practices.
• The Lead DAG Paralegal will be expected to apply analytical thinking and knowledge of data analysis to assist and support the DAG attorneys with complex investigations and various administrative responsibilities incidental to those matters.
• The Lead DAG Paralegal should have experience in the financial services industry, and ideally, subject matter expertise relevant to FINRA Rules relating to customer disputes. Regular interaction with business risk and management across various business lines is expected, and well-developed and nuanced communication skills are required.

Responsibilities:

• Perform varied work that involves moderate initiative and responsibility, to assist in-house counsel with complex and variable matters.
• Draft correspondence and legal documents. including settlement agreements.
• Assist lawyer(s) by investigating facts, gathering statements and evidence, preparing analysis and, from time to time, researching prior cases and legal precedent.
• May perform legislative / regulatory tracking and distribute information to legal and business colleagues.
• Review, classify and route incoming correspondence and pleadings to appropriate legal or operations departments.
• Manage data in various legal databases and systems, including off-site secure file storage.
• Communicate, both orally and in writing (including memorandum, letters & e-mails) with business clients, customers, internal staff, and on occasion, regulators and external counsel.
• Perform special investigations at the request of DAG attorneys or Legal Program Manager.
• Appropriately assess risk when business decisions are made, demonstrating particular consideration for the firm's reputation and safeguarding our client, its clients and assets, by driving compliance with applicable laws, rules and regulations, adhering to Policy, applying sound ethical judgment regarding personal behavior, conduct and business practices, and escalating, managing and reporting control issues with transparency.

Requirements:

• 2-5 years relevant experience
• Paralegal certification from an accredited institution.
• Experience in a corporate legal department, law firm or related field.
• Excellent technical, writing, analytic and research skills.
• Excellent Word, Excel and PowerPoint skills.
• Excellent interpersonal skills relating to confidential information and when dealing with customers/regulators/staff.
• Excellent organizational skills; ability to review and organize numerous related documents.
• Experience in the financial services industry strongly preferred.
• Subject matter expertise relevant to FINRA Rules relating to customer disputes strongly preferred.

Education:

• Bachelors/University degree or equivalent experience.
• Paralegal certification from an accredited institution.