Paralegal – FS Regulatory – Elite US Law Firm

A premier global law firm is seeking a Financial Services Regulatory Paralegal to join its top-tier Financial Services Regulatory practice, supporting partners and associates on regulatory matters affecting banks, broker-dealers, investment advisers, and other financial institutions.

Key Responsibilities

• Support regulatory filings, licensing applications, and registrations (SEC, FINRA, Federal Reserve, OCC, FDIC, state regulators)
• Assist with regulatory examinations, inquiries, and enforcement matters, including document review and production
• Research regulatory requirements and track developments in financial services law
• Maintain compliance calendars and filing deadlines
• Draft correspondence, memoranda, and client-ready summaries
• Manage documents/data via e-discovery and document management platforms

Qualifications

• Minimum 6 months of financial services regulatory experience, in private practice or in-house – required
• Bachelor’s degree required; paralegal certificate preferred
• Familiarity with key regulators (SEC, FINRA, Federal Reserve, OCC, CFPB) preferred
• Strong research, writing, and organizational skills
• Ability to manage deadlines independently in a fast-paced environment
• High discretion with confidential information

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