Legal Assistant

About the role

Kestra Holdings offers industry-leading wealth management platforms for independent wealth management professionals nationwide. Kestra is dedicated to empowering independent financial professionals—including traditional and hybrid RIAs—to grow their businesses and deliver exceptional client service. We combine advanced business management technology with personalized consulting to provide unmatched scale, efficiency, and support. Our advisor-focused culture is built on innovation and advocacy, enabling advisors to offer comprehensive securities and investment advisory solutions to their clients. Lead with Purpose. Partner with Impact. The Legal Assistant will provide comprehensive support to our corporate legal team, focusing on a range of critical legal and administrative tasks. This role is instrumental in supporting corporate governance, litigation, regulatory compliance, and various corporate transactions, including mergers and acquisitions. Additionally, the Legal Assistant plays a key role in managing commercial and Errors & Omissions (E&O) insurance matters for the company and its advisors.

Responsibilities

• Draft and assist in the preparation of business and legal documents under the guidance of the Executive Vice President (EVP) and Legal team.
• Prepare materials for quarterly Board meetings, ensuring accuracy and completeness.
• Handle sensitive information, including financial data and legal documents, with utmost confidentiality.
• Organize and manage legal documents, contracts, and records efficiently.
• Assist Senior Counsel with pre- and post- close coordination of required documents and filings for mergers and acquisitions.
• Maintain litigation tracking systems, such as spreadsheets and tracking files for all Legal functions including historical matters, invoices, financial claim accrual/estimates, and claim log.
• Coordinate requests for documents from external entities, ensuring accuracy and completeness of responses.
• Assist in responding to legal requests and subpoenas and managing document submissions ensuring the firm responds in a timely manner.
• Lead the quarterly audit process for firms, managing responses and documentation.
• Manage administrative office tasks including scheduling meetings, calendars and priorities for the Legal department.
• Prepare, organize, and distribute materials for Board meetings, ensuring accuracy.
• Maintain corporate minute books, directories of directors and officers, and organizational charts.
• Work with the registered