Paralegal, Subpoena Compliance

Raymond James - Saint Petersburg, FL

Full-time - Mid Level

Saint Petersburg, FL

Securities, Commodity Contracts, and Other Financial Investments and Related Activities

About the position

The Paralegal, Subpoena Compliance position at Raymond James Financial, Inc. is a full-time role that operates under general supervision, utilizing specialized knowledge and skills acquired through experience and training. This position primarily focuses on responding to litigation subpoenas, which involves locating, organizing, and analyzing documents, maintaining files, and preparing responses to subpoenas. The role requires a moderate level of complexity in decision-making, where the paralegal must evaluate situations and recommend solutions to complex problems. Regular interaction with internal customers and external legal service providers is essential to identify, research, and resolve issues effectively. As part of the national subpoena response team, the paralegal collaborates with subpoena and litigation attorneys to coordinate responses that may involve intricate legal matters. The essential duties include providing legal support services to attorneys and team members, conducting basic case research, and preparing legal and business communications. The paralegal is responsible for identifying, compiling, reviewing, and organizing documents that are responsive to subpoenas and discovery requests, as well as preparing legal documents and correspondence under attorney supervision. Additionally, the paralegal will maintain a library of pre-approved form documents, communicate with various business units to collect necessary documents, and manage a calendar of deadlines and response dates. The role also involves assisting with litigation and dispute resolution, maintaining internal case databases, reviewing invoices for discrepancies, and preparing trial notebooks and documents. The paralegal must stay current with paralegal practices and methodologies, operate standard office equipment, and perform other related duties as assigned.

Responsibilities

• Provide legal support services to attorneys and team members in the Legal department.
• Identify, compile, review, and organize documents responsive to subpoenas and discovery requests.
• Prepare legal documents and correspondence with and without attorney supervision.
• Perform legal research using LexisNexis and WestLaw, and gather relevant facts.
• Maintain a library of pre-approved form documents and revise material as needed.
• Communicate with various business units to collect responsive documents and information.
• Field questions from branch offices and facilitate resolutions to requests for documentation.
• Maintain a calendar of deadlines and response dates.
• Prepare standard letters and reports and assist in creating initial drafts of documents for review.
• Assist with litigation and dispute resolution as needed.
• Gather, organize, summarize, index, and maintain documents from various sources.
• Review outside counsel and vendor invoices for discrepancies.
• Assist in reviewing claims and preparing draft pleadings for legal counsel review.
• Draft correspondence, discovery requests, motions, subpoenas, and other related documents.
• Prepare and maintain trial notebooks and documents, assisting legal counsel at hearings and proceedings.
• Research and compile information to assist in preparing responses to regulatory authorities.
• Maintain the ongoing status of cases in the case management system.
• Assist other paralegals as required.

Requirements

• Associate's degree in a relevant field.
• Minimum of two years of experience in a law firm or legal department, preferably in financial planning or investment management.
• Paralegal certification is preferred.
• Knowledge of laws, legal codes, precedents, government regulations, and court procedures.
• Understanding of fundamental business practices and concepts that impact the firm's success.
• Intermediate level concepts and practices of the paralegal profession.
• Basic investment concepts and practices used in the securities industry.
• Strong analytical and critical thinking skills.

Nice-to-haves

• Experience with financial markets and products.
• Supervising experience in a legal context.

Benefits

• Eligible for discretionary bonus.
• Professional development opportunities.
• Health insurance coverage.
• 401k retirement savings plan.