Position Information

NY HELPYes

AgencyAttorney General, Office of the

TitleLegal Assistant 2 (NY HELPS) - Investor Protection (NYC)

Occupational CategoryLegal

Salary Grade17

Bargaining UnitPS&T - Professional, Scientific, and Technical (PEF)

Salary RangeFrom $61516 to $78307 Annually

Employment Type Full-Time

Appointment Type Permanent

Jurisdictional Class Competitive Class

Travel Percentage 0%

Schedule

Workweek Mon-Fri

Hours Per Week 37.50

Workday

From 8:30 AM

To 5 PM

Flextime allowed? No

Mandatory overtime? No

Compressed workweek allowed? No

Telecommuting allowed? No

Location

County New York

Street Address 28 Liberty

City New York

StateNY

Zip Code10005

Job Specifics

Duties Description In close association with an attorney or attorneys, Legal Assistants perform a variety of paralegal activities that require formal education and experience. Incumbents compile and organize files and documentation; prepare and assist in the preparation of legal documents and forms; catalog information; update databases or spreadsheets; and prepare correspondence and subpoenas. This position is located in our Investor Protection Bureau (Registrations) and the incumbent performs any or all of the following duties:

• Monitors and processes applications for investment advisers, broker-dealers, and all associated personnel (including reviewing Form ADV, Form BD, and Form U4) using established bureau guidelines.
• Applies applicable, regulations, rules, guidance, and section procedures to make routine registration decisions (in consultation with supervisor and/or registration attorney as appropriate).
• Assesses applicant disclosure history and formulates questions for the applicant.
• Reviews and analyzes marketing material (Form ADV) for adequacy and to identify indicia of fraud.
• Escalates matters not covered by existing internal guidelines to supervisor/attorney, as appropriate.
• Identifies, executes, and documents appropriate registration investigative steps and memorializes decisions.
• Uses online internal and external review tools.
• Corresponds with the public and answers questions related to registration (e.g., status, disciplinary history of broker-dealers, agents, investment advisers, investment adviser representatives, exempt reporting advisers, and commodities dealers).
• Tracks application deadlines and individual qualifications.
• Reviews application deficiencies and drafts correspondence seeking additional information.
• Retrieves and enters data in the FINRA CRD/IARD web-based databases.
• Prepares certificates.
• Performs special assignments in coordination with immediate supervisor (e.g., maintain confidential and non-confidential section files; prepares routine forms and files Form U6s in CRD/IARD system; and prepares record retention and disposal schedules.
• Performs general administrative duties (e.g., compiles, organizes, retrieves, and enters data into relevant bureau databases).
• Trains team members as needed.
• Creates files.
• Performs other duties as assigned.

PREFERRED QUALIFICATIONS:

Candidates for this position must have strong analytical skills, communicate effectively (orally and in writing), demonstrate excellent time-management skills, and be proficient on Microsoft Office Products (Word, Excel, PowerPoint, Access).

In addition, preferred candidates will have the following qualifications:

• Hands on experience with FINRA CRD/Gateway and IARD.
• Knowledge of state securities laws and general knowledge of related federal laws and SRO rules.
• Prior experience in the securities field or related financial field.

Minimum Qualifications NY HELPS:

This title is part of the New York Hiring for Emergency Limited Placement Statewide Program (NY HELPS).

For the duration of the NY HELPS Program, this title may be filled via a non-competitive appointment, which means no examination is required but all candidates must meet the minimum qualifications of the title for which they apply.

At a future date (within one year of permanent appointment), it is expected employees hired under NY HELPS will have their non-competitive employment status converted to competitive status, without having to compete in an examination. Employees will then be afforded with all of the same rights and privileges of competitive class employees of New York State. While serving permanently in a NY HELPS title, employees may take part in any promotion examination for which they are qualified.

NON-COMPETITIVE QUALIFICATIONS:

Candidates must have:

A minimum of three years of full-time experience as a Paralegal/Legal Assistant (see “Definition” below).

OR

An associate degree (or higher) in a Paralegal/Legal Assistant/Legal Studies program or a certificate in a Paralegal/Legal Assistant program where the degree was granted from a regionally accredited college or university or one approved by the American Bar Association (ABA) and one year of full-time experience as a Paralegal/Legal Assistant (see “Definition” below).

OR

An associate degree (or higher) in any field where the degree was granted from a regionally accredited college or university or one approved by the American Bar Association (ABA) and two years of full-time experience as a Paralegal/Legal Assistant (see “Definition” below).

OR

Graduation from an accredited (ABA approved) law school with a degree required for NYS Bar and two years of full-time experience as a Paralegal/Legal Assistant (see “Definition” below).

Definition: A Paralegal/Legal Assistant is someone who applies knowledge of the law and legal procedures in rendering direct assistance to lawyers, clients, and courts; prepares and interprets legal documents and forms; researches, compiles, and uses information from legal materials to provide both written and verbal comments on their findings; and analyzes and handles routine procedural problems independently with minimal attorney oversight. Non-qualifying experience includes receptionist, records clerk, bookkeeper, and office manager.

OTHER WAYS TO QUALIFY:

Reachable on the Department of Civil Service Eligible list for Legal Assistant 2.

OR

Permanent or Contingent-Permanent competitive status as a Legal Assistant 2.

OR

Eligible for a lateral transfer or eligible for transfer under Section 70.1 of the Civil Service Law by having one year of permanent competitive service in an appropriate title. To determine if your current Civil Service title is eligible for transfer to this title, visit the Career Mobility GOT-IT website.

OR

55 B/C: This position is eligible for 55b/c appointment, and candidates with 55b/c eligibility are encouraged to apply. To be eligible for a 55b/c appointment, candidate must be currently enrolled in the Civil Service 55b/c program and must meet the minimum qualifications listed above.

OR

Non-Competitive Promotion (NCP): If there are no more than three qualified candidates in the promotion field for this position, the agency may request approval from the Department of Civil Service to fill this position via a noncompetitive promotion (NCP) examination pursuant to Section 52.7 of the Civil Service Law. To be eligible for the NCP, a candidate must be in the direct promotion field, must not have failed (or failed to take, if eligible at that time) the last holding of the promotion examination for the title listed above, and must have one year of permanent or contingent-permanent competitive or 55-b/c service as a Legal Assistant 1.

Additional Comments Positions located in New York City include an additional $3,400 per year in downstate adjustment location pay.

The agency's hours of operation are Monday through Friday, between 8:30 am and 5:00 pm (37.5 hours/week). Scheduling determinations are dependent upon the needs of the Bureau and will be communicated during interviews.

Candidates from diverse backgrounds are encouraged to apply. The OAG is an equal opportunity employer and is committed to workplace diversity.

As an employee of the OAG, you will join a team of dedicated individuals who work to serve the people of our State through a wide variety of occupations. We offer a comprehensive New York State benefits package, including paid leave, health, dental, vision, and retirement benefits, and family-friendly policies. Additionally, the OAG offers a robust Workplace Flexibilities Program with multiple options for employees, including telecommuting (up to two days per week) and alternative work schedules.

Some positions may require additional credentials or a background check to verify your identity.

Contact Information

Name Human Resources Management Bureau

Telephone 518-776-2500

Fax 518-915-7754

Email Address HR.Recruitment@ag.ny.gov

Address

Street NYS Office of the Attorney General, Human Resources Management Bureau

State Capitol

City Albany

State NY

Zip Code 12224

 

Notes on ApplyingIn your submission, you must provide sufficient information to determine from your resume and/or cover letter that you meet the minimum qualifications stated above. If a certificate or degree is required to demonstrate that you meet the minimum qualifications, you must provide proof that you hold the required certificate or degree. To apply, please send your resume, cover letter, and a copy of your degree/transcript (if applicable) to HR.Recruitment@ag.ny.gov. Be sure to include the Vacancy # and Title of the position in the subject heading of your email.