Cetera Financial Group is seeking a Supervisor, Paralegal to work out of our offices located in New York, New York or El Segundo, California. This is a unique opportunity to join a legal team of highly experienced internal and external lawyers handling FINRA arbitrations, litigations, and regulatory matters affecting the company, mergers and acquisitions and business support for broker-dealers and registered investment advisors. The position offers an excellent opportunity for long-term professional growth and a competitive compensation package.
What you will do:
Principal Responsibilities:
- Manage 4-5 paralegals with experience in litigation, corporate, business support and special projects.
- Assign projects to paralegals and manage accordingly.
- Strong understanding of litigation paralegal responsibilities and ability to cover:
- Supporting internal and external attorneys in all facets of arbitration and litigation
- Maintaining litigation files using electronic case management systems
- Working with insurance carriers on billing and claim notices
- Working with employees in various departments and outside companies to obtain relevant case information
- Reviewing and processing vendor invoices using an electronic billing system
- Organizing documents and coordinating document productions
- Conducting document searches and factual research
- Drafting legal memoranda including litigation holds
- Assisting attorneys in drafting pleadings and discovering request/responses
- Preparing exhibits and hearing binders for arbitrations and trials
- Acting as liaison among various internal departments and outside counsel
- Providing administrative support to attorneys including calendar and travel management
- Responding to requests for information
- Other duties as assigned
- Strong understanding of corporate paralegal responsibilities and ability to cover:
- Responding to legal questions from operations, business resources, compliance, and growth teams.
- Legal research and writing on a variety of matters including trusts and estates, wills, and state regulations on small estate affidavits, powers of attorney, and probate laws.
- Drafting corporate resolutions for M&A transactions, bank networking transactions, dividend distributions, and other corporate governance matters.
- Working with internal stakeholders on forming and dissolving legal entities.
- Organizing and keeping track of all legal entities organizational records.
- Preparing monthly board of directors packages for meetings.
- Drafting and revising policies and procedures relating to privacy and corporate governance.
- Working on business support projects.
What you need to have:
- Minimum 5 - 10 years of experience in a law firm or in-house legal departmentAdvanced knowledge of Microsoft Office including Outlook, Word, PowerPoint and Excel (spreadsheets, word processing, graphics, etc.) and Adobe Acrobat
- Knowledge of Legal Tracker is a plus
- Knowledge of Westlaw or similar research tools is a plus
- Strong organizational skills and attention to detail
- Ability to handle multiple priorities and deadlines simultaneously
- Strong interpersonal, communication, and writing skills
- Team-oriented mindset and strong work ethic
- Sound judgment and problem-solving abilities
- Ability to analyze complex information requests
- Experience attending arbitrations and/or trials is a plus
- Familiarity with, or the desire to learn, the laws, regulations, and business operations of a retail broker-dealer and investment adviser.
- Previous management experience.
What is nice to have:
- Paralegal Certification
- Prior insurance experience
- Bachelor s degree preferred
Compensation:
The base annual salary range for this role is $90,000 to $120,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations.
ABOUT US
What we give you in return:
Not many teams can say that they support people s dreams coming to life We happen to do that every day. And as important as we know your career is, we recognize that there s a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including:
- Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship
- Easy access to mental health benefits to meet our team members and their families where they are
- 20+ days of paid time off (PTO), paid holidays, 1 paid wellness day and 1 days of paid volunteer time off (VTO) to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities
- 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years
- Paid parental leave to support all team members with birth, adoption, and foster
- Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more
- Employee Assistance Program (EAP), LifeLock, Pet Insurance and more
About Cetera Financial Group:
Cetera Financial Group ( Cetera ) is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions. Cetera is an independent financial advisor network and a leading provider of retail services to the investment programs of banks and credit unions.
Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations. Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.
Cetera Financial Group refers to the network of retail independent broker-dealers encompassing, among others, Cetera Advisors, Cetera Advisor Networks, Cetera Financial Institutions, Cetera Financial Specialists, and First Allied Securities.
Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees. For us, this is the only acceptable way to do business. Accordingly, all employment decisions at the Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.S. military status, political affiliation, or any other class protected by state and/or federal law.
Agencies please note: this recruitment assignment is being managed directly by Cetera s Talent Acquisition team. We will reach out to our preferred agency partners in the rare instance we require additional talent options. Your respect for this process is appreciated.
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