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Corporate Paralegal and Compliance Manager

3 months ago

Englewood, United States Noble 33 Full time
Job DescriptionJob Description

Job Summary: 

Plan, direct, or coordinate activities of Noble 33 to ensure compliance with Federal and State ethical or regulatory standards. 

Duties and Responsibilities: 

  • Will perform or coordinate numerous corporate law, regulatory and litigation activities, all under supervision of the Chief Legal Officer. 

  • Including: assist CLO with preparation and organization of corporate minutes, other documentation of corporate action and share register.  

  • Monitor on-going litigation and provide assistance to retain outside counsel. \ 

  • Assist in responding to third party subpoenas.  

  • Provide administrative support to CLO.  

  • Drafting correspondence, policies and procedures, and research memoranda. 

  • Review and assist with payment processing of invoices from legal vendors.  

  • Handle special projects, as assigned.  

  • Respond to outside counsel requests for company assistance in connection with any representation.  

  • Perform other duties as assigned to assist CLO in management of company's legal affairs. 

  • Report violations of compliance or regulatory standards to CLO  

  • File appropriate compliance reports with regulatory agencies. 

  • Maintain documentation of compliance activities, such as complaints received or investigation outcomes. 

  • Consult with CLO as necessary to address difficult legal compliance issues. 

  • Verify that all regulatory policies and procedures have been documented, implemented, and communicated. 

  • Develop risk management strategies based on assessment of product, compliance, or operational risks. 

  • Disseminate written policies and procedures related to compliance activities. 

  • California and New York City compliance experience preferred 

  • Conduct periodic internal reviews or audits to ensure that compliance procedures are followed. 

  • Provide assistance to internal or external auditors in compliance reviews. 

  • Must be require a strong understanding of investor tracking technology, streamlining applications and ongoing maintenance of such systems.  

  • Collaborate with human resources departments to ensure the implementation of consistent disciplinary action strategies in cases of compliance standard violations. 

  • Oversee internal reporting systems, such as corporate compliance hotlines. 

  • Verify that software technology is in place to adequately provide oversight and monitoring in all required areas. 

 

Technology Skills 

  • Expertise in Tax software, Microsoft Suite, HRIS Systems, Adobe Systems, DocuSign,  Adobe Acrobat 

  • Law and Government - Knowledge of laws, legal codes, court procedures, precedents, government regulations, executive orders, agency rules, and the democratic political process. 

  • English Language - Knowledge of the structure and content of the English language including the meaning and spelling of words, rules of composition, and grammar. 

  • Administration and Management - Knowledge of business and management principles involved in strategic planning, resource allocation, human resources modeling, leadership technique, production methods, and coordination of people and resources. 

  • Clerical - Knowledge of administrative and clerical procedures and systems such as word processing, managing files and records, stenography and transcription, designing forms, and other office procedures and terminology 

Benefits:  

  • Hybrid/remote schedule, but preferably DFW locale for likely transition to Coporate office; 

  • Medical/healthcare insurance, dental, vision; 

  • Employee dining discount; 

  • Paid time off; 

  • Opportunity for advancement.