Company Overview
We are on a mission to ensure that the financial system is routing money to the best ideas while helping people build and protect their long-term financial health. Our platform empowers financial advisors to learn about, build personalized strategies around, and invest in (previously inaccessible) private investments to help them grow their businesses and improve the outcomes of their clients.
The market for private investments is expected to grow by $2 trillion in the next decade, but remains largely inaccessible to the majority of non-institutional investors. Our platform provides exclusive educational content, personalized guidance, bespoke investment options, and a streamlined investment process to help make these investments more accessible than ever before.
About the Role
Opto Investments is seeking an experienced paralegal/legal operations professional to principally work on private fund formation and document management, and to generally support the legal and compliance team in its broad array of responsibilities. The ideal candidate will have experience in a law firm or financial services firm, focusing on private fund formation and/or familiarity with registered investment advisors, broker-dealers and fund managers, as well as substantive contract management experience, and exceptional project management and organizational skills. You will work closely with the General Counsel and rest of the Legal team as well as stakeholders throughout the company.
Your day-to-day will include:
- Working directly with lawyers to draft, finalize and maintain private fund offering materials, disclosures, partnership agreements and other private fund legal documentation.
- Assisting with coordination of other fund-related communications and activities.
- Overseeing the full contract management process from initiation to completion and organization, in conjunction with internal and external stakeholders.
- Project managing multiple complex assignments and regulatory initiatives across multiple stakeholders from start to finish.
- Performing a variety of legal research and due diligence review and analysis regarding securities laws, rules and regulations and other issues related to the company’s business.
- Providing general assistance to the legal team on legal and compliance projects including:
- Managing DocuSign process for legal contracts (NDAs, vendor contracts, partner contracts, etc.)
- Coordinating and overseeing contract intake process
- Coordinating contract and legal department document management
- Assisting with administration of other legal team function
- Assisting with compliance oversight
- Assisting with general corporate filings and HR matters
- Vendor procurement, management and oversight.
- General administrative and operational support
- Acting as liaison between company, attorneys, outside counsel, vendors and other internal and external parties.
- Assembling, proofing and editing drafts of contracts and other legal documents.
- Preparing and filing legal documents with appropriate entities, as required.
- Conducting research on projects as directed by in-house attorneys.
- Helping review and ensure the company’s compliance with applicable regulations.
- Possibly assisting with intellectual property-related matters.
About You
Required Skills
- Familiarity with private fund offering documents and structures
- Experience working with financial services compliance team
- Strong contract management and project management skills
- Strong people skills and ability to work with different stakeholders and teams
- Experience identifying, recommending and implementing process improvements
- Excellent communication, analytical, and problem-solving skills, with a detail-oriented approach and the ability to manage multiple tasks and priorities simultaneously while working independently and collaboratively with other members of the legal and compliance team.
- Ability to manage a high volume of work in a fast-paced, ever-changing environment
Bonus Skills
- Experience with SEC-registered investment advisor and/or broker-dealer
- Experience working in a startup environment
- Specialized experience with alternative investments
Background
- Bachelor’s degree or equivalent experience
- 5+ years in paralegal, legal operations or equivalent role, with 3+ years of experience specifically in financial services
- Paralegal and/or legal operations specialist with financial services experience and meaningful fund formation proficiency
Compensation and Benefits
Opto Investments has a high bar for talent, and we are committed to building the best teams possible. Candidates are never subjected to discrimination based on race, citizenship, religion, ethnicity, gender or gender identity, sex, pregnancy, national origin, age, sensory, mental, or physical disability, or any other characteristic.
The successful candidate for this role can expect a generous compensation and benefits package. The cash salary range for this role is $110,000-$140,000 dependent on skills, experience and expected contribution.
All full time employees at Opto Investments enjoy:
- Significant equity
- Health, dental, and vision
- Retirement savings plan (401k)
- Learning, Fitness & WFH stipends
- Paid Holidays, Including closing the week in between December 25th and January 1st
