Paralegal

Operational Legal Functions:

• Manage day-to-day legal operations, including contract and vendor due diligence, legal document processing, and subpoena response coordination.
• Review and maintain Power of Attorney documentation, divorce decrees, and beneficiary escalation cases, escalating complex matters as needed.
• Draft, review, and manage Mutual Non-Disclosure Agreements and cease and desist letters, ensuring proper execution and storage.

Compliance & Marketing Support:

• Perform legal review of all marketing materials such as email campaigns, blog posts, and social media to ensure regulatory compliance and accuracy.
• Coordinate with the Compliance team on regulatory sign-off and serve as a resource for legal questions and ad hoc research.
• Conduct intake and review of Registered Investment Advisor certification submissions and maintain accurate records of approvals.

Administrative & Strategic Duties:

• Maintain organized legal records in SharePoint, supporting document retention protocols and proper filing of all legal instruments.
• Support the review and updating of client-facing account disclosures, including IRA plan agreements and fee schedules.
• Manage and prioritize incoming legal requests via shared inboxes and ticketing systems, ensuring timely triage and resolution tracking.