Overview
Legal Assistant Jobs in Dearborn, MI at AR Law
Compliance Associate
Responsibilities
Assist in implementing the Global Compliance Program
Drafting compliance policies and procedures
Conduct research with respect to compliance and regulatory issues; develop new compliance initiatives
Interact with the business and global compliance teams to provide advice and guidance to firm personnel on compliance matters
Provide training to employees during induction, annual and ad hoc compliance trainings, including the preparation and updating of materials
Assist with regulatory examinations, inquiries, investigations, internal audits and projects, as necessary
Prepare and submit regulatory filings (i.e., Form ADV, 13H, N-PX)
Undertake and lead special compliance related projects involving various inter-department stakeholders
Conduct reviews as part of the Firm’s overall compliance program as required under the Investment Advisers Act Rule 206(4)-7
Organize and administer the Firm’s committee governance program and documentation
Monitor regulatory changes, updates and industry-wide compliance initiatives
Review and analyze reports generated by the Firm’s surveillance systems
Improve internal compliance reports by identifying/closing any potential gaps, automating workflows/processes
Qualifications
Bachelor’s degree from an accredited university or college with a strong academic record; JD is a plus
5+ years of experience in compliance experience, including at a global financial institution, asset manager or regulator
Superior verbal and written communication, as well as analytical and problem solving skills
Experience with Form ADV; a solid understanding of regulatory/self-regulatory agencies (e.g., SEC, CFTC, NFA) and the requirements of the Investment Advisers Act of 1940 and the Securities Act of 1933 preferred
Detail oriented; critical thinker, demonstrates thoroughness and strong ownership of work
Entrepreneurial inclination; ability to work self-sufficiently and act as a project manager
Highly motivated, proactive, results-oriented, able to multitask and prioritize in a fast moving, high pressure, constantly changing environment; strong sense of urgency
Experience in working with different technology applications such as MS PowerPoint, Excel VBA Macros, Tableau, any other relevant data analytics tools preferred
Good team player with a strong willingness to participate and help others
Experience in a compliance position at a registered investment advisor preferred
Broad product and financial services industry knowledge
Title: Legal Assistant
Company: AR Law
Location: Dearborn, MI
