Job Description
Location: Newport Beach, CA (On-site) or Beverly Hills, CA (On-site)
Position Overview
We are seeking a highly skilled Legal Assistant / Paralegal to provide direct support to the Chief Legal Officer (CLO) of a Registered Investment Adviser (RIA). The position combines corporate paralegal responsibilities, litigation and regulatory support, and executive-level legal assistance. The ideal candidate will have experience in contract drafting, corporate governance, and litigation support within the financial services or securities industry.
Key Responsibilities
Paralegal & Corporate Legal Support:
- Draft, edit, and review contracts, employment agreements, NDAs, vendor agreements, and operating agreements.
- Assist with corporate governance, entity formation, and board/committee resolutions.
- Maintain and organize corporate records, shareholder/partner agreements, and compliance files.
- Conduct legal research and prepare memoranda for the CLO on regulatory, contractual, and corporate issues.
Litigation & Dispute Support:
- Coordinate with outside counsel on litigation, arbitration, and regulatory enforcement matters.
- Manage litigation calendars, discovery schedules, and filing deadlines.
- Draft pleadings, discovery responses, subpoenas, and correspondence under attorney supervision.
- Organize and review document productions, deposition transcripts, and expert reports.
- Assist with trial/arbitration prep: prepare exhibits, binders, and witness coordination.
Regulatory & Compliance Support:
- Support SEC and state regulatory filings (e.g., Form ADV, etc.).
- Track deadlines, assist with audit preparation, and help respond to regulatory inquiries.
- Maintain compliance manuals, policies, and advertising/marketing review files.
Executive & Departmental Support:
- Provide high-level support to the CLO, including confidential correspondence and meeting preparation.
- Liaise with internal teams, regulators, and outside counsel.
- Prepare agendas, board packets, and draft meeting minutes.
- Manage outside counsel invoices, track budgets, and process billing.
Qualifications
- Bachelor’s degree required.
- 3–5+ years of paralegal/legal assistant experience, including litigation and corporate law exposure.
- Strong knowledge of litigation procedures, court rules, and regulatory requirements.
- Excellent drafting, proofreading, and research skills.
- Proficiency in Microsoft Office and document management systems.
- Highly organized, deadline-driven, and able to manage multiple projects simultaneously.
- High ethical standards and ability to handle confidential information with discretion.
Compensation & Benefits
- $75,000 + benefits
- Bonus potential tied to individual and firm performance.
- Health, dental, and vision insurance.
- 401(k) with employer match (eligible after one year).
- Paid time off, holidays, and opportunities for professional development.
Work Environment
This position is in-office and based in Newport Beach, CA or Beverly Hills, CA . Candidates must be available to work on-site during standard business hours, with occasional overtime based on litigation or regulatory deadlines.
Job Tags
Contract work, Work at office,