Legal Assistant

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.

What You’ll Do:

• 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 agent to ensure timely filing of annual reports for Kestra firms with Secretary of State offices.
• Track and coordinate insurance coverage for complaints against Kestra firms and advisors.
• Ensure timely responses to advisor inquiries regarding E&O and other insurance enrollment and coverage.
• Oversee the renewal of yearly insurance applications for all Kestra firm policies.

What You Bring: 

• High school diploma required
• College degree preferred and/ or industry experience preferred
• Paralegal or similar experience preferred
• Strong organizational and document management skills.
• Ability to handle confidential information with discretion.
• Knowledge of, or ability to gain sound knowledge of insurance policies and program.
• Working knowledge of brokerage operations, compliance, and other areas of a broker-dealer.
• Analytical thinking skills.
• Excellent communication and coordination skills.
• Familiarity with legal document drafting and corporate governance.
• Proficient in litigation tracking systems and basic insurance processes.

Internal Application Policy:

Internal applicants must be in good standing and have a minimum of 1 year of service with Kestra. Internal applicants must also have a minimum of 1 year service in current role unless approved by EVP.

Benefits to support you:

• Competitive pay and benefits with a large employer (over 1600 employees nationwide)
• 401(k), health insurance, and a competitive benefits package
• Work in a supportive, collaborative environment committed to professional excellence
• Help clients navigate meaningful financial decisions with confidence
• Opportunities for training, development, and long-term growth within the firm
• Tuition reimbursement for qualified expenses

Kestra Values:
Our Mission is Powering Financial Independence, enabling the growth and success of investing clients and the advisors who serve them. We do that by living our values: Serve, Make it Happen, and One team.  

Explore Life at Kestra

Kestra Holdings Website: https://www.kestrafinancial.com/

Careers Portal: https://jobs.dayforcehcm.com/en-US/kestra/KESTRACAREERSITE

LinkedIn: https://www.linkedin.com/company/kestra-financial

Apply Today

Lead with purpose. Apply now and help shape the future of Kestra.

Disclosure By applying to a job at Kestra Financial, Inc., you are agreeing to the following statements:

• You acknowledge that if hired, Kestra Financial, Inc. may, obtain and use background information concerning your credit, character, general reputation, personal characteristics, work habits, performance and experience for evaluation for your potential employment.
• It is the policy of Kestra Financial to ensure equal employment opportunity without discrimination or harassment on the basis of race, color, religion, sex, sexual orientation, gender, identity or expression, age, disability, marital status, citizenship, national origin, genetic information, or any other characteristic protected by law. Kestra Financial prohibits any such discrimination or harassment.