Swoon · 4 hours ago
Regulatory Compliance Specialist
Bellevue, WA
Contract
Hybrid
Mid Level
$35/hr - $35/hr
3+ years expSwoon is seeking a Regulatory Compliance Specialist for a 6-month contract with potential for extension or conversion. The role involves managing state licensing and registrations, collaborating with legal teams, and conducting regulatory monitoring to ensure compliance with legal requirements.
ConsultingHuman ResourcesInformation TechnologyLegalStaffing Agency
Responsibilities
Manage state licensing and registrations by overseeing the end-to-end process, including the timely processing of renewals and associated payments in partnership with our Finance team
Act as a legal liaison by collaborating closely with financial services attorneys to ensure our licensure is always current and in full alignment with legal requirements
Conduct regulatory monitoring by actively checking state agency portals and the Nationwide Multistate Licensing System and Registry (NMLS) to stay ahead of all pertinent notifications, changes, and requirements
Master e-submissions by becoming proficient in all electronic submissions for licensed activities, including profile management updates, financial statement submissions, and renewals
Provide legal support and analysis by researching and analyzing law sources (statutes, judicial decisions, codes, etcetera) under the direction of an attorney and applying that guidance to licensing matters, while acting as a key point of contact with state agencies
Prepare legal documents by assisting attorneys with routine documents such as briefs, pleadings, appeals, or contracts as needed
Own system and process by utilizing and maintaining dashboards to track licensing tasks, deadlines, and status details, ensuring predictability, transparency, and accountability across the function
Qualification
Required
A minimum of three years of relevant experience in a paralegal, legal analyst, or compliance role, ideally within the financial services industry
Proven ability to research and analyze law sources and resolve routine legal issues under attorney direction
Demonstrated experience managing common requirements for state licensing and registrations for financial services companies with a strong understanding of NMLS processes
Exceptional attention to detail, strong organizational skills, and a commitment to meticulous record retention
Comfort and proficiency with electronic submission systems and managing task-oriented dashboards
Excellent written and verbal communication skills with the ability to synthesize complex legal guidance into actionable steps
Company
Swoon
In 2010, Swoon launched an agile, client-focused team that is not only savvy in our core industries but elbow-deep, every day, getting to know the strongest talent in the technology and professional fields.
501-1000 employees
Funding
Current Stage
Late StageLeadership Team
Andy Baker
Co-Founder and Leadership Advisor
Alyssa Holtz
Client Partner
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