Legal and Compliance Operations Associate

Responsibilities - Contract Lifecycle Management (CLM) & Document Administration

• Oversee and maintain the Company’s CLM system to ensure accuracy, organization and up-to-date recordkeeping; recommend improvements to document workflows and practices as needed.
• Manage and maintain legal files (electronic and physical), ensuring compliance with internal controls, and proactively identifying process gaps for accurate and up-to-date record-keeping.
• Coordinate document execution and legal review workflows; including Docusign processes, document completeness checks, and contract evaluations using applicable playbooks; identify issues requiring legal guidance and make preliminary recommendations.

Responsibilities - Legal Documentation & Regulatory Filings

• Prepare and process legal documents, including correspondence, agreements and addendums, and regulatory filings, with accuracy and attention to detail.
•  Support and, where appropriate, independently manage the preparation and submission of regulatory and corporate filings, including annual reports and local business registrations.
• Monitor legal and compliance deadlines and ensure timely completion of legal and compliance tasks. 

Responsibilities - Compliance, Risk & Insurance Administration

• Oversee routine requirements of the firm’s insurance portfolio and program, coordinating with internal and external stakeholders and identifying issues requiring legal or leadership attention.
• Assist with the preparation for audits and examinations, including annual insurance renewals, by gathering documentation from different business stakeholders. 

Responsibilities - Project Management & Cross-Functional Partnership

• Manage and/or support cross-functional projects (such as CLM implementation or compliance process development), collaborating with stakeholders for successful deployment, adoption and operational success.
• Communicate effectively with internal teams and external parties under the direction of the legal team; manage follow-ups with stakeholders on projects.

Responsibilities - Research & Legal Support

• Assist with legal research and support for legal inquiries.

Qualifications:

• Associate's degree or paralegal certificate preferred; Bachelor's degree a plus.
• Minimum of 2-3 years of experience as a legal assistant or paralegal, preferably within the financial services industry (RIA experience is a significant advantage).
• Strong understanding of legal terminology and procedures.
• Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint, Outlook) and document management systems.
• Excellent organizational, time management, and multi-tasking skills with the ability to prioritize tasks effectively.
• Exceptional attention to detail and accuracy.
• Strong written and verbal communication skills.  
• Ability to work independently and as part of a team.
• Demonstrated ability to handle confidential information with discretion and professionalism.  
• Proactive and resourceful with a strong problem-solving aptitude.
• Familiarity with ERISA and securities regulations (a plus).
• This is a full-time, exempt, in-office position with flexibility.

Compensation:

• Pay:  $82,000 - $92,000 per year


Ownership & Financial Wellbeing
• Fully paid medical, dental, and vision coverage for employees
• 401(k) with 100% match up to 3% of annual compensation
• Equity ownership opportunities for every employee
• New Business Incentive Program
• Generous employee referral bonus
• Cell phone data reimbursement
• Financial planning services discount for employees and immediate family members


Time & Flexibility
• Minimum 3 weeks PTO starting Day 1
• Winter Break, Summer Friday flex-days, and 10 paid holidays
• Unlimited Volunteer Time Off plus company grant matching
• Heavily subsidized transit


Growth & Development
• 100% reimbursement for required training, certifications, licensing, and dues
• Personal career development plans
• Richer Life Business Partner (coaching for all employees)
• Mindful Emotional & Social Intelligence training
• Annual professional & personal wellbeing stipend


Connection & Community
• Quarterly team-building events
• Regular social events
• Employee-led book clubs, committees, and affinity groups


Family & Milestones
• Paid Parental leave (13 weeks for birthing parent and 6 weeks for non-birthing parent)
• Adoption benefits
• Anniversary milestone celebrations, including a 3-month paid sabbatical at 10 years