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Paralegal - II (Regulatory Compliance Specialist / Analyst)
Paralegal - II (Regulatory Compliance Specialist / Analyst)Spectraforce Technologies • Bellevue, WA, United States
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Paralegal - II (Regulatory Compliance Specialist / Analyst)

Paralegal - II (Regulatory Compliance Specialist / Analyst)

Spectraforce Technologies • Bellevue, WA, United States
Hace 26 días
Tipo de contrato
  • A tiempo completo
Descripción del trabajo

Title : Regulatory Compliance Specialist / Analyst

Location : Bellevue, WA / Hybrid (3 days onsite / week)

Duration : 6 Months

Job Description :

  • At least 3 years relevant experience required. Provides support to attorneys. Under the direction of an attorney, resolves routine legal issues.
  • Researches and analyzes law sources such as statutes, recorded judicial decisions, legal articles, treaties, constitutions, and legal codes. Prepares legal documents such as briefs, pleadings, appeals, and contracts.

Manage common requirements for state licensing and registrations for financial services companies covering :

  • engaging financial services attorneys to ensure licensure alignment,
  • processing renewals on a timely basis,
  • processing payments to state agencies (in partnership with Finance),
  • and ensuring licensing confirmation records retention.

    • Other criteria :

  • Synthesizing, organizing and acting upon legal guidance about licensing matters. - Monitor state agency portals as well as the Nationwide Multistate Licensing System & Registry (NMLS) and stay on top of all pertinent notifications.
  • Proficient at e-submissions for authorized financial services activities under applicable license types such as profile management updates, financial statements, renewals etc.
  • Using dashboards that group tasks by due date and status details for licensing requirements predictability, transparency, and accountability.
  • Act as a key point of contact with appropriate state agencies.

    • Technology Requirements (I.E Programs, systems, etc) :

  • Comprehensive proficiency of Microsoft Office applications, including Excel, Word, and PowerPoint.
  • Use of Regulatory Tech (RegTech) tools e.g., software solutions to support compliance processes and risk management activities - tasks tracking, workflows, and milestones
  • Experience with Power BI - a major plus.

    • What does a typical day look like? (daily tasks) : Blend of :

  • License evaluations for upcoming renewal season and specific requirements to facilitate successful state renewals e.g., Client's company profile, financial statements, etc.).
  • Ensuring renewals occur on time to achieve Compliance Management Program (CMP) obligations and mitigate missed renewal escalations and / or late payment assessments
  • Gathering reporting or other insights from internal stakeholders.
  • Submitting accurate client's information into NMLS or other state portals.
  • Engaging in-house financial services attorneys and other SMEs as needed for accurate completion of company or branch information. Thus, aligning with client's CMP processes appropriately.
  • Commitment to upholding the highest standards of compliance, security, customer, and other stakeholder trust.

    • Preferred background / prior work experience? Credible prior work experience : Licensure compliance; State examinations; Compliance remediation measures.

    Priority soft skills :

  • Highly collaborative with a positive attitude, humor, humility, professionalism, and collegiality.
  • Organizational skills with a track record for prioritizing projects.
  • Problem solving and analytical competences.
  • Ability and willingness to take initiative to manage multiple priorities to meet deadlines.
  • Active listening.
  • Sound judgement.
  • Must be adaptable ... Rely on one's experience and judgment to plan and accomplish goals.
  • Works under general supervision.
  • Strong written and oral communication skills.
    • Crear una alerta de empleo para esta búsqueda

    Compliance Analyst Ii • Bellevue, WA, United States

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