Paralegal Compliance - Western & Southern Financial Group

Under the direction of the Compliance Manager, the Paralegal - Compliance independently manages multiple tasks relating to record management, project tracking, budgeting, invoice management and administrative support. The Paralegal - Compliance supports members of the Legal and Compliance team with various projects and strategic initiatives and works with both internal and external partners on legal, compliance and related matters. Develops, implements and maintains appropriate processes and protocols to support compliance, tracking and reporting requirements. Works with minimal supervision and is responsible for making a range of decisions, escalating to manager when appropriate and updating manager on a regular basis.

What you will do:

• Corporate Governance, Records Management and Reporting: Manages the tracking, organizing and filing of contracts, legal documents, presentations and correspondence, including overseeing the effective use of Legal Tracker and other records management and reporting software for legal, compliance, corporate governance and general records management. Responsible for ensuring the timeliness and accuracy of legal, compliance, regulatory, financial and other reporting.
• Manages Departmental Logistics and Communication: Schedules meetings and facilitates discussions, with the ability to edit documents online, during meetings, to capture group input and feedback. Maintains contact with internal clients/business units, outside counsel, regulatory agency staff and other external stakeholders, as needed, in connection with assigned duties. Assists with communication and tracking of compliance updates to external partners (e.g. MGUs and TPAs). Effectively manages sensitive issues and maintains, confidentiality.
• Legal and Insurance Research: Monitors litigation, legislation and/or industry related communications relevant to the company. In consultation with legal counsel, researches and analyzes laws and regulations to provide written guidance to appropriate business units for implementation.
• Budgeting and Invoice Management: Effectively uses electronic systems for legal expense management (e.g., customizing the system, setting up and maintaining matters, processing legal invoices for payment, budget tracking and reporting). Collaborates with the Legal and Compliance team, Finance and other business partners to ensure accurate budgeting and invoice management. Ensures all payments are approved and paid timely. Researches and resolves any billing issues and payment matters. Regularly reviews department budget and reports to identify concerns or issues with established budget levels, escalating as appropriate to management and stakeholders.
• Administrative and Compliance Support: Coordinates meeting logistics for team and and assists in managing attorney calendar/diary. Provides administrative support; including, word processing, preparing PowerPoint presentations, documents project plans and requirements, keeps projects on track through completion, and prepares other periodic reports, as needed.
• Compliance Management: Drafts and maintains Standard Operating Procedures (SOPs), manuals and other written guidance to support legal and compliance management initiatives. Maintains inventory of legal and compliance SOPs, tracks review due dates and coordinates reviews of SOPs with management. Participate on the Company Compliance Action Team to help implement compliance requirements. Recommend and implement enhancements and process improvements based on an assessment of available regulatory and compliance systems and processes. Research and track regulatory developments to update compliance policies and procedures. Records, investigates and escalates alleged non-compliance with laws, regulations, and company policies for appropriate handling.
• Transactions Support: Assists with corporate transactions (e.g., contract review, due diligence management and document reviews).
• Performs other duties as assigned.
• Complies with all policies and standards.

• Bachelor's Degree (Required)
• 4-6 years Experience working as a corporate paralegal experience, either in-house or with a law firm. (Preferred) and
• Certified Paralegal or Certificate/Training Upon Hire (Preferred)
• Demonstrated experience identifying, defining and resolving problems and collecting and interpreting data to establish facts, draw valid conclusions and provide effective resolutions. (Required)
• Demonstrated experience working as part of a team developing cooperation and collaborative work efforts toward solutions that benefit all parties involved. (Required)
• Able to research and analyze laws and regulations, including insurance laws and regulations, for application to business operations.
• Demonstrated effective verbal and written communication skills with the ability to convey information to internal and external customers in a clear, accurate, focused and concise manner.
• Demonstrated ability to document procedures and activities in a manner that is understandable to others and prepared using a prescribed format.
• Verbal and written communications are to conform to proper rules of punctuation, grammar, diction and style.
• Demonstrated high level of attention to detail and excellent organizational skills.
• Ability to organize, prioritize work and manage competing priorities.
• Ability to identify and effectively manage and resolve issues.
• Excellent research skills, using legal research engines (e.g., Westlaw, Lexis+ AI).
• Excellent with Microsoft Office, especially Word, Excel, PowerPoint and Planner.
• Ability to learn and use electronic compliance programs (e.g., RegEd (Code) and Thomson Reuters Legal Tracker).

Work Setting/Position Demands:

• Works in an office setting and remains in a stationary position for long periods of time while working at a desk, on a computer or with other standard office equipment, or while in meetings.
• Requires the ability to verbally communicate and exchange accurate information to customers and associates on a regular basis.
• Requires visual acuity to read and interpret a variety of correspondence, procedures, reports and forms via paper and electronic documents, visual inspection involving small defects; small parts, and/or operation of machinery (including inspection); using measurement devices continuously. Visual acuity is required to determine accuracy, neatness, and thoroughness of work assigned.
• Requires the ability to prepare written correspondence, reports and forms using prescribed formats and conforming to rules of punctuation, grammar, diction, and style on a regular basis.
• Requires the ability to apply principles of logical thinking to define problems, collect data, establish facts, and draw valid conclusions
• Performs substantial movement of wrists, hands, and fingers for continuous computer work.
• Extended hours required during peak workloads or special projects/events.

Travel Requirements:

• None