Paralegal

About Wealth Enhancement

Wealth Enhancement is an independent wealth management firm with an endless passion for enriching the lives of our clients. We continually seek to perfect our craft of personalized financial planning with our team-based Roundtable and UniFi processes that go far beyond the standard approach. We proudly provide unique financial plans and investment management services to over 75,000 households from our over 100 offices - and growing - nationwide.

Since 1997, Wealth Enhancement has tirelessly raised the standard of wealth management with specialized knowledge and more attentive service that helps every client craft their future. For more information, please visit www.wealthenhancement.com.

Due to growth, we are seeking a Paralegal to join our team. This role will serve as a key liaison for our legal team supporting regulatory and compliance efforts by conducting research on securities laws, preparing filings, and monitoring regulatory changes. It also includes assisting with employment law matters, such as drafting employment-related documents, managing legal disputes, and supporting financial advisor recruiting and onboarding. Additionally, the role involves organizing legal department records, coordinating with outside counsel, and providing project management and administrative support to attorneys. (This opportunity can be a remote opportunity)

The salary target for this role is $95,000.00 - $105,000.00 depending on experience. This role is also eligible for an annual bonus.

We select our initial compensation target using national compensation survey data. When we make an offer, we then factor in things like tenure, performance, and geographic location to come up with the most accurate numbers. We encourage you to apply and provide us with your compensation expectations when you do. We’re big on open conversations, so, let’s have one. 

Primary Job Functions

Regulatory and Compliance Support:

• Conduct research on securities laws, regulations, and industry best practices to ensure the company remains in compliance.
• Under supervision of regulatory attorneys, support the preparation and submission of filings, as well as legal team’s engagement in regulatory audits, examinations, and inquiries.
• Draft and review agreements, including investment management agreements, selling agreements, and other contractual documents related to broker-dealer and investment adviser operations.
• Monitor and track changes in laws and regulations affecting broker-dealers and investment advisers.

Employment Law and Financial Advisor Recruiting:

• Support employment counsel and other members of the Wealth Enhancement legal team with employment agreement-related matters, including maintenance of company form templates and drafting employment-related documents such as separation agreements.
• Assist attorneys in managing legal disputes through support of discovery and other dispute-related processes and oversight of external litigation counsel.
• Support acquisition due diligence processes, including acquisition target background investigations and other due diligence investigations requested by counsel.
• Conduct research on employment laws to ensure compliance and manage employment law risk.
• Assist in the development and implementation of policies related to financial advisor recruiting, onboarding, and transitions.

• Assist counsel in monitoring compliance with non-compete, non-solicitation, and other employment-related agreements.

Legal Operations:

• Organize and maintain legal department records, including contracts, filings, and correspondence.

• Coordinate with outside counsel on various matters as needed.

• Provide general project management and administrative support to supervising attorneys.

Education/Qualifications

• Bachelor's Degree required

• Paralegal Certificate from an ABA-accredited program.

• A minimum of five (5) years of relevant experience, including experience in a financial services firm.

• Strong verbal, written, analytical, organizational and interpersonal skills.

• Flexibility in daily work schedule to meet company/client needs during periods of heavy workload.

• Superior verbal and written communication skills.

• Proficient with Microsoft Office Suite or related software.

IND12

#LI-Remote

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Comprehensive Benefits Offerings

Our benefits aim to balance four key elements that make life and work meaningful: health and wellness, financial well-being, professional development, and work/life harmony. You may participate in the following benefits & development opportunities:

• Training and professional development

• Medical, dental and vision coverage (Available to employees and their families)

• Health Savings Account (HSA) with employer contribution and Flexible Spending Accounts (FSA) for medical, dependent, and transit expenses

• Life and AD&D insurance – employer paid and voluntary options

• Short-term and long-term disability, workers compensation – employer paid

• 401k with match and profit sharing

• Wellness programs and resources

• Voluntary benefits, including pet insurance

• 18 days of paid time off (PTO), accrued annually (25 PTO days after 4 years of service)

• 12 paid holidays each year (10 pre-determined and 2 floating days)

• Paid parental leave and paid caregiver leave (Caregiver leave available after 6 months of tenure)

• Reimbursement for tuition, licensing, and other credentials (Available after meeting service requirements)

Should you need reasonable accommodation when completing the application form or during the selection process, contact the Human Resources Department at 763-417-1700

Information provided on this application will be kept confidential and only be shared with those involved in the selection process.

Equal Opportunity Employer, including disabled and veterans. This organization participates in E-Verify.

Click the following link to view Federal and E-Verify posters: Link

OSHA Requirements: This position requires the ability to stand or sit for long periods of time, file documents in high or low cabinets, to use the telephone and to use the computer systems.