The Analyst facilitates the efficient operation of the Legal and Compliance functions for NewEdge Capital Group, under the immediate direction and over-sight of the Chief Legal Officer.
This is a unique opportunity to gain access and insight into the complex world of securities regulation, risk management and compliance in the fastest growing segment of the wealth management industry. This key individual will collaborate with internal NewEdge teams and external service providers to establish and maintain an efficient workflow to ensure key initiatives of the legal and compliance strategies are successfully accomplished. This may involve taking the lead on projects and initiatives under the direction of the Chief Legal Officer or carrying out assigned tasks themselves for the department and performing a variety of research, data analysis, clerical and/or administrative tasks.
May direct the work of clerical employees or coordinate the involvement of other workers.
May assist in training newly hired personnel.
Supports Chief Legal Officer and others with follow up tasks/documents.
Collaborate with business/operations/IT teams in cross departmental initiatives
Analyzes collected data for trends and outliers with an eye toward improving the Legal and Compliance Departments efficiency.
Assist in the identification and mitigation of regulatory and compliance risk to help ensure compliance with applicable state and federal law, rules and regulations.
Act as a liaison between the prospective client/vendor to ensure timely follow-up.
Maintain current knowledge of industry compliance/legal trends and developments.
Maintain databases in Salesforce, Monday and Excel applications by performing basic functions such as entering information, maintaining reports.
Attends all appropriate business meetings as representative of the functions the role supports.
Collaborates to ensure day to day productive workflow is efficiently maintained on assigned legal and/or compliance work.
Takes the lead on key projects which may involve collection and organization of specified data from various sources, which may include departmental heads and subject matter experts, surveys of reports and forecasts, personal observations, budgetary documentation, and other appropriate resources.
Identifies potential strategies and offers suggestions to resolve issues.
Creates detailed reports of data and analytical findings and clearly communicates them to management.
Performs other related duties as assigned.
Work at a law firm or in-house legal or compliance department experience a plus
Advance technology competence and skills.
Excellent organizational skills.
Project Management capabilities.
Adept with basic research methods.
Ability to think analytically.
Desire to learn about securities law, compliance and risk management
Mastery of basic math and statistics.
Working knowledge of Saleforce and Monday a plus
Proficient in Microsoft PowerPoint, Excel and other presentation-style platforms.
Ability to create visual descriptions of findings and present them to staff at varying levels in the organization.
Ability to work independently.
Ability to collaborate with the managerial staff of various departments.