Paralegal - Midwest

About Our Team:

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. As the central hub of Springline, our National Team powers the shared capabilities, infrastructure, and innovation that fuel firm-wide success.

We’re proud to invest in our people while promoting an entrepreneurial spirit and providing a faster path to sustainable growth. At Springline, we’re building something greater than the sum of its parts: stronger cultures, future-ready capabilities, and enduring legacies for the teams, clients, and communities we serve. To learn more, visit springlineadvisory.com.

About the Role:

As the Paralegal, Compliance & Risk Operations, you will support firm-wide compliance and risk programs, with a specialized focus on supporting regulatory alignment, licensing, and corporate risk functions. This role drives initiatives such as regulatory and professional licensing, corporate insurance compliance, and business license oversight. In addition, this role will support special operational projects including the firm’s corporate calendar and administrative compliance infrastructure.

What You’ll Do:

Compliance Program Development & Management

• 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.

Engagement Letter Standardization

• 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.

Regulatory & Licensing

• 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.

Corporate Insurance Program Support

• 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.

Conducting Compliance Audits and Investigations

• 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.

Risk Monitoring & Reporting

• 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.

Special Projects / Administrative Oversight

• 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.

About You:

• 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.

Why Join Us:

We’re growing rapidly and constantly evolving, allowing our team members to share their unique perspectives, solve new challenges, and own their careers. We’re committed to supporting your happiness, career trajectory, and overall well-being by providing:

• 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.

Springline Advisory is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees.

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