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Paralegal (Level III)
Ref No.: 18-08064
Location: Charlotte, North Carolina
Job Description:

The Regulatory Investigations Analyst is part of a Legal team that has enterprise-wide responsibility for responding to regulatory or governmental inquiries that pose significant legal, economic or reputational risk to the company. The analyst assists in conducting or coordinating the company's discovery and response efforts arising from regulatory inquiries or legal process and interacts directly with various internal and external parties in the course of such efforts. The analyst is responsible for performing discovery management and complex analysis to assist management and counsel in identifying, assessing, and mitigating legal and regulatory risk exposure. Common duties include discovery, collection, review, analysis, and production of physical documentation and electronically stored information that may be responsive to regulatory inquiries or legal process. The position commonly interfaces and coordinates on assigned matters with internal legal counsel, external legal counsel, discovery management vendors, business unit management and staff, support unit staff, risk partners, and regulatory or government agency staff. The analyst is also responsible for preparing regular reports on assigned matters to provide status to Legal Department management, business unit management, risk management and others.

Required Skills:
3-5 years of experience in financial services with background in risk management (i.e. Risk, Compliance or Legal) or in operational role dealing with risk related issues
Excellent written and verbal communication skills.
Strong analytical skills.
Knowledge and skill with Microsoft Office Suite (Excel, PowerPoint, Word)
Must be able to work in team environment or alone as the job requires
Proven ability to handle multiple projects with short deadlines with great attention to detail.

Desired Skills:
Strong preference will be given to candidates with knowledge of /or experience in institutional or retail wealth and investment management. Experience with interactions with regulators.