Senior Paralegal - Crypto in Plantation, FL at TradeStation

Date Posted: 3/26/2021

Job Snapshot

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Job Description

Senior Paralegal - Crypto
Plantation, FL
TradeStation is an online brokerage firm seeking to level the playing field for self-directed investors and traders, empowering them to claim their individual financial edge.  At TradeStation, we're continuously pushing the boundaries of what's possible, encouraging out-of-the-box thinking and relentless search for innovation.  We offer a collaborative and flexible work environment, competitive salaries, comprehensive benefits and an unlimited PTO policy.
TradeStation Crypto is a cryptocurrency trading service that operates under the TradeStation Group family of companies. We built TradeStation Crypto to serve as a bridge between traditional markets and the developing crypto financial system. At TradeStation Crypto, we are focused on paving a simplified onramp to the crypto-financial world. Our role in this crypto ecosystem is to provide traders and investors the access and tools they need to learn, trade and earn interest. 
We are currently seeing a Senior Paralegal to assist and provide a range of regulatory compliance support and administration to the AML and Compliance areas within the Legal Department.
  • Manage the state money service business/money transmitter (or equivalent) license (“MSB”/ “MT”) regulatory response process to ensure timely compliance with regulatory requirements for TradeStation Crypto, Inc. (“TradeStation Crypto”) in all relevant jurisdictions where the company operates
  • Responsible for tracking, escalation, and communication regarding state MSB/MT regulatory deadlines by developing and maintaining a compliance calendar
  • Assist in the preparation of requested materials in response to comment letters from state regulatory agencies addressing pending state license applications
  • Maintain and periodically update TradeStation Crypto’s company profile on the Nationwide Multistate Licensing System & Registry (“NMLS”)
  • Respond to ad hoc regulatory inquiries (ex. license items) on the NMLS platform and other correspondence from regulators, as necessary
  • Assist with AML and Compliance regulatory matters, including the coordination of state regulatory examinations by relevant state regulatory agencies and the annual independent review of the AML program by the TradeStation Group, Inc. Internal Audit Department
  • Manage the annual MSB/MT license renewals on NMLS
  • Assist in the submission of the quarterly MSB/MT call report on NMLS and relevant state regulatory agency portals
  • Assist in the periodic review and testing of TradeStation Crypto vendor services
  • Proofread, photocopy, assemble and distribute materials, as necessary
  • Scan, file, and organize documents
  • Ability to work effectively and courteously with attorneys, senior executives, and other contacts (such as state/federal government regulators and third-party vendors)
  • Ability to work independently, and within a collaborative team-oriented environment using sound judgment
  • Ability to read and understand legal terms and related documents
  • Attention to detail and accuracy while working to meet critical deadlines
  • Excellent communication skills
  • Analytical skills
  • Critical thinking skills
  • Organizational skills
  • Bachelor’s degree, Associate’s degree or certificate program in paralegal studies
  • 5+ years corporate paralegal/state regulatory agency experience preferred
  • Relevant computer knowledge and experience
  • Securities Brokerage/Financial Services industry experience, a plus