Full time

Investment Compliance Paralegal

Chicago, IllinoisJob reference #: JF10417B


Postiion Title: Investment Compliance Paralegal

Reports to:  Senior Counsel, Assistant Vice President

Industry: Financial Services

Company:  Subsidiary of global investment and advisory firm with over $200 billion AUM.  Company provides financial services to retail and institutional clients.  For company name and information, contact Jessica Fernandez.

Location: Chicago, Illinois

Compensation: Highly competitive base salary plus bonus plus OT eligibility; competitive and comprehensive medical, dental, vision benefits, as well as other perks.  For specifics, contact JFernandez@codasearch.com

Brief Overview:   This person will support several business lines within Investments and Treasury.  She/He will frequently interact with senior level attorneys and executives, and must be able to manage their work independently.  This is a great opportunity to learn and grown in a dynamic organization within a growing department.

For more information, to apply, or to refer someone for this position: Email JFernandez@CodaSearch.com

Position Overview:

¬∑        Review, complete, organize, and maintain confidential investment files

¬∑        Review and manage KYC documentation

¬∑        Ownership of cataloging processes as well as indexing electronically filed documents

¬∑        Owns permissions for access to databases

¬∑        Guides to Investment Team around procedures

¬∑        Draft legal memoranda regarding compliance of investments with applicable law

¬∑        Coordinates across departments to ensure best practices of document management  

¬∑        Serves as Point of Contact for external auditors and regulators- coordinates with them as needed

¬∑        Special Projects (including supporting document production, subpoena requests, regulatory inquiries, etc.)

Required Credentials:

The successful candidate will excel in environments where she/he manages assignments independently and can multitask.  This role gives high exposure to executives and attorneys.

  • Educational requirements:  Must have either a Paralegal certificate or equivalent college-level coursework.  If no Bachelor‚Äôs Degree, must have equivalent legal work experience
  • Previous work experience requirements: 
  • At least 3 years of experience in compliance as a paralegal, legal assistant, or executive assistant; OR
  • At least 3 years of experience in commercial transactions as a legal assistant, paralegal, or executive assistant

Software skills:

  • Advanced user of Word, Excel, Power Point, and Outlook;
  • Experience using database tools (e.g., Access)
  • Experience using document management systems (e.g., OpenText) preferred;
  • Experience with NILS, Westlaw or Lexis-Nexis, and/or other online legal information systems is a plus

Experience & Abilities:

  • Must have experience drafting corporate legal documents
  • Must have experience with document management‚ÄĒmaintaining legal documents, etc.
  • Demonstrated experience using analytical and research skills
  • Experience with KYC documentation (Know Your Customer) is a plus
  • Experience with derivatives transactions is a plus
  • Supervisory experience is a plus, as is experience leading project teams
  • Experience in the Insurance or Financial Services industry is a plus