Legal & Compliance Operations Associate

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Grow your career with a growing organization

Whether they’re helping people reach their long-term financial goals or providing personal wealth management strategies, every associate contributes to changing the lives of those we serve for the better. When it comes to job satisfaction, that’s hard to beat. And from a personal satisfaction perspective, you’ll enjoy the freedom to support causes that matter to you and experience a truly inclusive work environment. Your future starts now.

As a Legal & Compliance Operations Associate at Personal Capital, you will be an integral part of the Legal and Compliance team dedicated to improving the efficiency and operations of the department. In this role, you will be responsible for managing department resources; tracking department metrics; implementing and managing legal and compliance technology; supporting the legal and compliance team meetings and calendar; and leading special projects for the functions.

We are looking for a passionate and professional team player who is detail-oriented, enthusiastic, diligent, resourceful and wants to be part of a close and collaborative Legal and Compliance team in a fast-paced financial services company. Successful candidates will be results-driven and dedicated to achieving the objectives of the role while maintaining the high-quality standards set forth by the department.

Responsibilities:

  • Maintain legal and Compliance meetings calendar, agendas, and offsite planning
  • Assist in the creation, implementation and promotion of filing and document retention protocols and naming conventions
  • Stay up to date on industry best practices and leading processes to inform the department and influence continuous improvement
  • Create and maintain forms and templates
  • Assist with departmental budgeting and tracking, including the annual budget process and ongoing budget management and monitoring
  • Develop and enforce processes and policies to manage legal vendor relationships and spend
  • Support MCLE requirements and Compliance training opportunities for team
  • Manage PO process for Legal and Compliance teams
  • Act as the key point of contact for e-billing and matter management systems, including the monthly accrual process
  • Provide input and assist with the design and implementation of the department technology roadmap
  • Enhance and maintain an environment that encourages team work and individual efforts as well as ethical behavior
  • Act as a point of contact for questions and concerns regarding legal process and performance
  • Organize and maintain all legal policies, playbooks, checklists, etc.
  • Assist in the performance review and merit planning cycles, as needed
  • Support Legal and Compliance presentations preparation and content and special departmental projects
  • Advise on the use of legal technology, including recommending areas for improvement in the utilization of current resources and identifying and implementing new solutions

Key Requirements:

  • Paralegal or Bachelor’s degree required
  • 2+ years of experience in a legal/compliance operations or similar role
  • Excellent project management and organization skills
  • Collaborative and strong interpersonal skills
  • Ability and interest in learning and mastering new technologies and driving process optimization
  • Ability to establish and maintain collaborative working relationships within the organization’s Legal and Compliance department and across all businesses
  • Ability to adapt to changing priorities and business needs
  • Purpose-driven
  • Willingness to take ownership for a project and drive it to completion
  • Team player willing to pitch in where needed
  • Strong power point and excel skills

Please note that this role is being posted by Personal Capital, an Empower company. Personal Capital roles are cross-posted to the Empower web site and are also available at https://www.personalcapital.com/company/jobs. For more information about Personal Capital, please visit www.personalcapital.com

What we offer you

We offer an array of diverse and inclusive benefits regardless of where you are in your career. We believe that providing our employees with the means to lead healthy balanced lives results in the best possible work performance.

  • Medical, dental, vision and life insurance
  • Retirement savings – 401(k) plan with generous company matching contributions (up to 5%), financial advisory services, potential company discretionary contribution, and a broad investment lineup
  • Tuition reimbursement up to $5,250/year
  • Business-casual environment that includes the option to wear jeans
  • Generous paid time off upon hire – including a paid time off program plus nine paid company holidays and three floating holidays each calendar year
  • Paid volunteer time — 16 hours per calendar year
  • Leave of absence programs – including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA)
  • Business Resource Groups (BRGs) - internal networks that rally around common interest, experiences and identities such as race, ethnicity, gender, ability, military status and sexual orientation. BRGs play a vital role in educating and engaging our people and advancing our business priorities.

The salary range below describes the minimum to maximum base salary range for this position in the location listed. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation offered may vary from posted hiring range based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer.

Base Salary Range

$ 73,200.00-117,200.00

Location

CA Redwood City

We are an equal opportunity employer with a commitment to diversity. All individuals, regardless of personal characteristics, are encouraged to apply. All qualified applicants will receive consideration for employment without regard to age (40 and over), race, color, national origin, ancestry, sex, sexual orientation, gender, gender identity, gender expression, marital status, pregnancy, religion, physical or mental disability, military or veteran status, genetic information, or any other status protected by applicable state or local law. 

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