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.

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