US Capital Wealth Advisors, LLC
U.S. Capital Wealth Advisors (“USCWA”) is an independent hybrid wealth management firm headquartered in Houston, Texas, managing approximately $9 billion in AUM/A across over 5,500 clients and 62 advisors. USCWA has a strong footprint in Texas across Houston, Austin, Dallas, and Georgetown, as well as offices in New York City and Massachusetts. USCWA is majority owned by Arax Investment Partners (“Arax”), a premier wealth management platform company backed by RedBird Capital Partners (“RedBird”).
USCWA’s mission is to combine the deep experience and expertise of its financial advisor teams with the significant breadth and depth of its investment strategies and solutions to deliver an exceptional client experience.
Position Description
Title: Legal Assistant & Corporate Records Manager
Reports to: Head of Legal & Compliance
Benefits: Yes
Status: Full-time, Exempt
Date Updated: May 2024
Salary Range: $55,000-$65,000
Job Summary
The Legal Assistant & Corporate Records Manager will support the Firm with a variety of tasks, including regulatory compliance, contract management, litigation, and transactional support. This role requires a detail-oriented individual familiar with compliance, law, and/or financial services. a. Although this role will report to Legal & Compliance, the Legal Assistant & Records Manager would work closely with various areas of the Firm, including Accounting, Human Resources, and Operations.
Job Responsibilities
- Assist with the preparation and maintenance of corporate records, including board minutes, resolutions, and bylaws.
- Manage processes to document compliance with corporate governance and firm approved policies and procedures.
- Prepare, review, and flag issues in a variety of standard form contracts, including NDAs, service agreements, and vendor contracts.
- Working with key stakeholders, establish and maintain a contract management system and ensure proper documentation and archiving.
- Manage compliance and litigation document filing and control.
- Assist in document gathering for regulatory exams, litigations, and corporate diligence.
- Provide general administrative support to the legal and compliance team, including scheduling, correspondence, and file management.
- Uses sound judgment, critical thinking, and clear and professional communication in handling all duties and responsibilities.
- Assist with special projects and other duties as assigned.
Job Requirements
- Minimum of five years of experience as a legal assistant, legal archivist, records manager, or corporate paralegal, preferably in a financial services firm or law firm.
- Familiar with corporate governance, regulatory compliance, arbitration, and contract law.
- Excellent research, writing, organizational skills, and keen attention to detail
- Proficient in Microsoft Office Suite and legal research tools
- Courteous, personable, approachable, and professional in all relationships
- Ability to interact with individuals at all levels internally
- Can be trusted to keep sensitive/confidential information secure and maintain discretion
- Ensure strict compliance with company and regulatory standards
- Critical thinking, problem-solving and project management skills
Salary and Benefits
- Salary will be based on experience
- Benefits include medical, dental, vision, life, disability, and 401(k) (benefits subject to change)
- Paid time off
- Partial and/or full financial support for professional accreditation/continuing education requirements
Job Type: Full-time
Pay: $55,000.00 - $65,000.00 per year
Benefits:
- 401(k)
- Dental insurance
- Employee assistance program
- Health insurance
- Health savings account
- Life insurance
- Paid sick time
- Paid time off
- Vision insurance
Schedule:
- Day shift
- Monday to Friday
Ability to Relocate:
- Austin, TX 78701: Relocate before starting work (Required)
Work Location: In person