Paralegal

The Paralegal will provide legal, regulatory, and administrative support to the Legal and Compliance teams at Stratos Wealth Partners. This role will assist with regulatory filings, contract review and management, corporate governance matters, compliance documentation, vendor due diligence, regulatory examinations, and special projects. The ideal candidate possesses strong analytical skills, exceptional attention to detail, and an interest in securities law and investment adviser regulation.

Key Responsibilities

Legal Support

• Draft, review, and maintain contracts, vendor agreements, confidentiality agreements, and other legal documents.
• Assist with contract administration and tracking of key obligations and renewal dates.
• Coordinate legal document execution and maintain legal files and records.
• Support outside counsel relationships and legal projects.
• Regulatory and Compliance Support
• Maintain compliance policies, procedures, and documentation.
• Support regulatory examinations, audits, and information requests.
• Assist with regulatory inquiries, complaint management, and compliance investigations.

Due Diligence and Risk Management

• Coordinate vendor due diligence reviews and document collection.
• Support third-party risk management initiatives.
• Assist with client disclosure reviews and documentation tracking.
• Organize and maintain compliance testing and monitoring records.

General Administration

• Manage document retention and recordkeeping processes.
• Assist with special projects and departmental reporting.
• Support cross-functional initiatives involving Operations, Compliance, and Advisory teams.

At the Beachwood Office, Stratos staff work a hybrid work schedule; working 3 days in the office, 2 days remote. At Stratos, we invest in our people with affordable, comprehensive medical, dental, and vision coverage; a competitive 401(k) match with immediate vesting; a generous PTO policy; paid parental leave - 8 weeks for dads and 16 weeks for moms; employer paid long-term and short-term disability; professional development support; and wellness resources. Join a collaborative, people-first culture focused on your growth, well-being, and success. Equal Employment Opportunity: We are an Equal Opportunity Employer (EOE) committed to providing a workplace free from discrimination and harassment. Employment decisions are based on business needs, job requirements, and individual qualifications, without regard to any status protected by applicable federal, state, or local law. We value an inclusive workplace where all employees and applicants are treated with dignity and respect.

Required

• Associate's degree, Bachelor's degree, or Paralegal Certificate from an accredited program.
• 2+ years of paralegal experience, preferably in financial services, securities, banking, investment management, or corporate law.
• Strong organizational and project management skills.
• Excellent written and verbal communication abilities.
• Proficiency with Microsoft Office Suite, including Word, Excel, PowerPoint, and Outlook.
• Ability to manage multiple priorities while maintaining exceptional attention to detail.

Preferred

• Experience working with a Registered Investment Adviser (RIA), broker-dealer, investment management firm, law firm, or regulatory agency.
• Familiarity with the Investment Advisers Act of 1940 and SEC regulatory requirements.
• FINRA Licenses: SIE, Series 7, Series 66, and Series 24 (or willingness to obtain).
• Experience supporting compliance programs and regulatory examinations.
• Knowledge of contract management systems and document retention practices.

Knowledge and Skills

• Strong analytical and problem-solving abilities.
• Ability to handle sensitive and confidential information.
• Excellent judgment and professionalism.
• Strong records management and organizational skills.
• Ability to work independently and collaboratively across departments.
• High level of integrity and commitment to regulatory compliance.

Ideal Candidate Profile: A paralegal interested in combining legal work with securities regulation, compliance oversight, contract administration, and corporate governance within a sophisticated wealth management and investment advisory environment. This role can be a strong pathway into securities compliance, legal operations, or regulatory affairs leadership positions.