Paralegal – Regulatory Compliance

Job Description

Paralegal | Venerable

The Tone:
This is a Paralegal role at Venerable, located in West Chester, PA, operating under a hybrid work model. Venerable is a financial services organization with a focus on registered securities products and non-registered insurance products. This position is vital for ensuring the company maintains compliance under federal and state laws and regulations, while providing essential support to the organization’s Legal & Compliance Team. The role demands an organized and detail-oriented individual who can collaborate closely with legal counsel and manage critical regulatory processes.

The TL;DR
• Role: Mid-Level
• Location: Hybrid, West Chester, PA
• Team: Legal & Compliance Team, working closely with Deputy General Counsel and Counsel
• Mission: This person owns maintaining compliance under federal and state laws and regulations for the organization’s registered securities products and non-registered insurance products.
• Tech Stack: Microsoft Office Suite, WORD, Excel, PowerPoint, Teams Meetings

What You’ll Actually Do
• Regulatory Filings: Manage the processes associated with drafting, updating, and filing various insurance product documents with federal and state regulators.
• Licensing & Renewals: Complete and file periodic regulatory filings as needed, and renew and maintain company licensing with the states.
• Board Meeting Support: Coordinate the preparation of materials for certain board meetings.
• Legal Surveys: Maintain up-to-date 50-state surveys of laws related to Company processes and procedures.
• Compliance Analysis: Analyze documents for compliance with federal and state laws, regulations, and case law.

The Must-Haves
• Background: Bachelor’s degree or equivalent, with paralegal certification preferred.
• Experience: Typically, three (3) or more years of experience as a corporate paralegal or substantially equivalent experience performing paralegal responsibilities, including filing documents with state or federal regulators.
• Skills: Knowledge of and experience doing legal research on-line; proficiency with Microsoft Office Suite, including WORD, Excel, PowerPoint, and Teams Meetings; organized and detail-oriented; adept at handling competing deadlines, multi-tasking, and working well under pressure.
• Bonus: General familiarity with federal securities laws and regulations applicable to variable insurance products, state insurance laws and regulations, and FINRA rules and regulations applicable to broker-dealers.