Major investment bank seeks experienced COMPLIANCE/REGULATORY/LEGAL ASSISTANT for long term contract role onsite in NYC-Manhattan. You must be able to go into the office in Manhattan.

ROLE:

3-5 years’ experience in financial services, compliance, or at a law firm--financial regulatory experience a plus

Bachelor's Degree

Microsoft Office

The Global Regulatory Relations Group provides strategic and centralized management of the supervisory activities of the Firm’s regulators and related developments globally, focusing on regulatory reviews and examinations and continuous monitoring activities. They serve as the central point of contact with the Firm’s key supervisory regulators globally to facilitate productive relationships. They make senior management aware of the Firm’s regulatory relationships. The team develops and implements the processes by which they and the Enterprise Regulatory Oversight Committee oversees significant regulatory reviews and findings and the Firm’s responses and tracking of the progress of remediation of significant regulatory findings. They are responsible for oversight, tracking, and reporting regarding remediation of regulatory findings.

Prepare and review exam materials for production including, but not limited to, reformatting documents

Draft response letters

Update and maintain exam tracking logs and exam folders

Search tracking logs for similar historic requests and findings

BATES stamping

Facilitate sharing of exam-related documents via Teams

Review and redaction of sensitive info

Quality assurance review of documents

Maintenance of exam metrics

TEAM THAT MANAGES EXAMS FROM FIRM'S REGULATORS

HIGH LEVEL DOCUMENTATION TO PRODUCE FOR REGULATORS

ADOBE-PDF-BE ABLE TO CONVERT

UPDATE TRACKING LOG

LEGAL BACKGROUND A PLUS

PARALEGAL A PLUS