Apply on Employer Site

Springline Advisory · 17 hours ago

Paralegal - Midwest

United States

Full-time

Remote

Mid Level

3+ years exp

Springline Advisory is a trailblazing financial and business advisory firm that accelerates next-phase growth for privately held mid-market accounting and advisory firms across the U.S. The Paralegal will support firm-wide compliance and risk programs, focusing on regulatory alignment, licensing, and corporate risk functions while driving initiatives related to compliance and operational projects.

Business DevelopmentConsultingFinance

Responsibilities

Assist in the development, implementation, and maintenance firm-wide compliance policies, procedures, and training programs that reflect regulatory requirements and licensing obligations

Monitor regulatory developments and proactively update compliance programs to mitigate risk

Partner with Head of Assurance Quality & Risk Management around compliance work, as needed

Oversee compliance elements such as: Vendor onboarding and procurement processes, Vendor engagement management, Business license management and renewals, Corporate insurance program compliance, Claims reporting and tracking, Regulatory compliance, including Secretary of State (SoS) registrations, Contractual and procurement-related risk controls

Collaborate with assigned compliance lead to support the standardization of engagement letters across the firm to ensure compliance with internal policies and regulatory expectations

Partner with General Counsel and additional compliance team members to support review and execution of MSA, SOW, and engagement letters for founding firms

Manage governance and tracking of all licensing activities across jurisdictions and service lines

File and maintain business and professional licenses as required by federal, state, and local regulations

Work collaboratively with General Counsel to provide guidance and support for licensing-related compliance and Management of registered agent relationship and filings

Research and document regulatory requirements as necessary

Support the firm’s corporate insurance programs, partnering with insurance providers and internal stakeholders

Monitor claims activity and ensure proper reporting and documentation practices

Facilitate COI request process with broker; maintain COI documentation

Monitor ethics hotline

Collaborate with relevant teams to conduct internal compliance audits and investigations into potential policy violations or regulatory non-compliance

Ensure timely resolution and remediation of audit findings, working closely with stakeholders to maintain adherence to firm standards and regulations

Develop and maintain compliance risk metrics and dashboards to inform senior leadership and identify areas for improvement

Collaborate with other leaders to address compliance risks firm-wide

Maintain direct information flow to CAO on all risk monitoring and reporting

Complete special operations and administrative compliance projects such as: Preparation and maintenance of the firm’s corporate calendar in coordination with Head of Corporate Marketing and CAO, Administration of recurring compliance filings and tracking tools, Maintain Founding Firm Fact book, Maintain Springline wide distribution lists, General compliance operations infrastructure across departments, Partner with additional team members to allow for cross functional training and support, Vendor contract review and management

Qualification

Compliance program developmentRegulatory complianceLicensing managementRisk monitoringProject managementProficiency with compliance toolsLeadership skillsCross-functional collaboration

Required

Paralegal degree or certificate preferred

3+ years in compliance, risk, or regulatory roles within public accounting or advisory firms preferred

Proven experience with licensing, business compliance, and firm-wide policy development

Strong leadership, project management, and cross-functional collaboration skills

Proficiency with compliance tools, reporting systems, and regulatory tracking platforms

Benefits

Flexible Work Environment: This is a fully remote role that offers flexibility to balance your work and personal life while contributing to an exciting vision and team.

Dynamic and Innovative Work: An opportunity to play a critical role within a rapidly growing firm with a supportive and collaborative culture.

Growth Opportunities: A dynamic and supportive environment where your contributions will directly impact the firm’s growth and success and share in the rewards.

Collaborative Culture: A team-oriented culture that values innovation, entrepreneurial spirit, and growth mindset.