Overview
Legal Administrative Assistant Jobs in Saint Paul, MN at Hubbard Broadcasting
As a Regulatory Legal Counsel at SIG, you will join a team focused on assuring regulatory compliance regarding the trading of securities, commodities, fixed income, energy, and FX; and addressing associated litigation matters. Responsibilities will include updating the firm on regulatory requirements, developing policies and procedures, responding to regulatory requests, advising traders and business staff, facilitating the firm’s e-mail program and Anti-Money Laundering program, and working with outside litigation counsel. You will primarily interact with federal and SRO regulators, compliance personnel, traders, information technology personnel, business personnel, and other attorneys.
In this role, you will:
Design and implement policies and procedures to ensure review of electronic communication is in compliance with applicable regulations; retrieve and review such communications in support of regulatory requirements as well as in support of litigation matters or business related requests
Review regulations and ensure compliance with applicable regulations relating to securities, commodities, fixed income, energy, FX and swaps
Partner with staff in addressing regulatory examinations and inquiries
Partner with outside counsel to support litigation including conducting and coordinating document production and review, collection and presentation of data; supervise contract attorneys engaged for document review where applicable
Manage AML compliance for all domestic entities across the firm, facilitating annual and biennial audits of all broker/dealers
What we’re looking for
Juris Doctor required
Minimum of three years in a compliance, legal/regulatory counsel, or related, role required; securities / commodities and/or AML experience a plus
Excellent organizational and written communication skills required
Must exhibit strong attention to detail
SIG is not accepting unsolicited resumes from search firms. All resumes submitted by search firms to any employee at SIG via-email, the Internet or directly without a valid written search agreement will be deemed the sole property of SIG, and no fee will be paid in the event the candidate is hired by SIG.
Title: Legal Administrative Assistant
Company: Hubbard Broadcasting
Location: Saint Paul, MN
