Company: Raymond James
Location: Saint Petersburg
Posted on: June 6, 2021
The Regulatory Affairs Group within the Raymond James legal
department is seeking an experienced, motivated team-player for a
Lead Paralegal position. The Regulatory Affairs Group handles
regulatory inquiries and enforcement matters as well as certain
internal investigations across all lines of business for Raymond
James. The successful candidate will possess the ability to perform
a variety of advanced regulatory support activities, including
gathering, organizing and analyzing documents and data and
preparing correspondence and productions to regulatory agencies.
Lead paralegals have a range of responsibilities with respect to
case management through the full life cycle of a regulatory or
internal investigation and work collaboratively with attorneys,
other paralegals, and administrative assistants to efficiently and
effectively manage the team's portfolio. Extensive contact with
internal clients and personnel and some external parties including
outside counsel and regulators is required to gather information
and assist the team in responding to regulatory matters.
Essential Duties and Responsibilities:
- Primary responsibility for case management in collaboration
- Leads the work of others and provides on-the-job paralegal
- Coaches, mentors and works collaboratively with other
- Reviews regulatory requests and prepares draft responses for
review by legal counsel.
- Prepares or assists in preparing statistical and narrative
reports by performing information gathering and analysis.
- Coordinates with other Paralegals to develop efficient
procedures/communications to stream-line processes and satisfy
various Legal department needs.
- Conducts research utilizing agency websites (Westlaw) to
retrieve factual information for a case or transaction.
- Coordinates outside services, either directly or through
support departments, and act as a liaison with involved third
- May provide training to new paralegals and new attorneys on
legal department procedures and technical aspects of the paralegal
area of expertise.
- Promotes effective work practices and work as a team
- Maintain a library of preapproved documents, contracts and
clauses, templates and historical documents and revise material as
- Create and maintain internal case databases, run searches on
internal and external document databases and systems, cull relevant
information from a variety of resources.
- Oversees the gathering, organizing, summarizing and indexing of
legal and supporting documentation for internal and external legal
- Prepares correspondence, discovery requests and responses,
settlement agreements, and other related documents.
- May participate in meetings and interviews in connection with
regulatory and internal matters and draft summaries and/or take
- Reviews outside counsel and vendor invoices for discrepancies
and approve for payment.
- Researches, compiles information and prepares responses to
- May obtain witness statements.
- Reviews outside counsel invoices and tracks actual expenses and
compares to budget.
- Ensures that the on-going status of cases is maintained in the
case management system.
- Maintains familiarity with current paralegal practices and
- Operates standard office equipment and uses required software
- Performs other duties and responsibilities as assigned.
Knowledge, Skills, and Abilities
- Laws, legal codes, precedents, and government regulations.
- Fundamental business practices and concepts that impact the
success and profitability of the firm.
- Advanced concepts, practices and procedures of the paralegal
- Investment concepts, practices and procedures used in the
- Principles of banking and finance and securities industry
- Financial markets and products.
- Legal experience with law firm or in-house legal department
relevant to financial services legal practice is preferred.
- Highly skilled in legal research and analyzing facts and
information, and resolving problems as they arise
- Reviewing regulatory requests and subpoenas and preparing draft
- Gathering, organizing, summarizing and indexing large volumes
- Preparing correspondence, discovery requests and responses,
settlement agreements, and other related documents.
- Assisting legal counsel at proceedings and meetings.
- Obtaining witness statements.
- Tracking expenses and comparing to budget.
- Maintaining information in an automated case management
- Operating standard office equipment and using required software
- Maintain confidential information.
- To establish and maintain effective working relationships.
Coach, mentor and lead the work of others and provide paralegal
- To review the work of other paralegal and provide constructive
- Maintain professional currency.
- Use analytical and critical thinking skills in reading,
interpreting, analyzing and applying information from legal
documentation and references.
- Attend to detail while maintaining a big picture
- Attend external meetings or hearings as deemed necessary by
your assigned attorney.
- Interpret and apply policies and identify and recommend changes
- Organize, manage and track multiple detailed tasks and
assignments with frequent changing priorities and interruptions in
a fast-paced work environment.
- Communicate effectively, both orally and in writing.
- Work independently as well as collaboratively within a team
- Guide others in handling stressful situations and providing a
high level of customer service
- Establish and maintain effective working relationships at all
levels of the organization.
- Effectively and accurately communicates with team members and
other members of the department
Educational/Previous Experience Requirements:
- Associates degree and a minimum of four (4) years' experience
in a law firm or legal department in a financial planning,
investment management or other financial services environment.
- An equivalent combination of experience, education, and/or
training approved by Human Resources.
- Paralegal /Legal Assistant Certificate from an ABA accredited
- FRP or ability to obtain within 6 months
Keywords: Raymond James, St. Petersburg , Lead Paralegal, Other , Saint Petersburg, Florida
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