Legal Operations Specialist

Position Summary The Legal and Compliance team seeks a full-time Legal Operations Specialist to keep Legal, Compliance, and Enterprise Risk functions running smoothly and ahead of deadline across the Hercules platform. The role blends document management, governance, compliance, and securities-filing responsibilities with a mandate to leverage AI and technology to drive efficiency. Essential Job Functions Legal Operations & Workflow Management Own and improve document management, version control, and file organization across Box and Outlook. Track matters, deadlines, and deliverables across legal, compliance, and risk workstreams. Serve as a reliable point of contact for outside counsel and service providers on status, logistics, and document exchange. Entity Management, Corporate Governance & Records Maintain the entity management register and coordinate with registered agents on entity-level compliance. Maintain corporate records, minute books, and governance documentation. Support the Corporate Secretary with resolutions, written consents, signature collection, and recordkeeping. Track annual governance obligations to keep the function ahead of its commitments. Compliance & Enterprise Risk Support Administer compliance program records — policies, training logistics, attestations, and documentation. Assist with KYC/AML processes. Support SOX and internal-controls documentation, including control narratives and audit evidence. Administer the corporate insurance program — renewals, coverage records, and board approval tracking. Maintain the regulatory filing calendar and track items through completion. Support the enterprise risk assessment process — coordinating documentation, maintaining the risk register, and assembling reporting inputs. Maintain audit-ready records for regulatory examinations and internal reviews. Equity Plan, Section 16 & Proxy Support Prepare and maintain outstanding-share reconciliations. Coordinate with the transfer agent and equity-plan administrator on grants, transactions, and recordkeeping. Prepare Section 16 filing support (Form 4) and track ownership-reporting obligations. Support the annual proxy and stockholder-meeting cycle — document coordination, data reconciliation, and vendor management. AI & Operational Efficiency Use AI tools daily to draft, review, organize, and accelerate work across legal, compliance, and risk. Build and refine custom AI workflows ("Skills") to automate routine tasks and free the team for higher-value work. Identify opportunities to apply AI to real departmental pain points, then design and implement solutions. Document and improve AI-driven processes, help colleagues adopt them, and track efficiency gains. Requirements 5+ years as a legal secretary, paralegal, or legal executive assistant supporting corporate, governance, compliance, or licensing work at a law firm or in-house legal department. Impeccable attention to detail — Section 16 filings, share reconciliations, license renewals, and regulatory deadlines are exacting and unforgiving of error. Strong discretion with confidential and market-sensitive information, including MNPI, board materials, and compensation data. Genuine enthusiasm for AI and technology, with demonstrated creativity in applying tools to improve work; experience building AI workflows or Skills with Claude is a strong plus. Exceptional organizational skills and a track record of managing competing priorities under deadline pressure. Excellent written and verbal communication skills. Advanced proficiency in Microsoft Office and document management systems (Box a plus). Proactive, ownership-minded approach with interest in growing into broader legal operations, compliance, risk, and AI-governance responsibilities. Experience with equity plan administration, Section 16 reporting, SOX documentation, proxy support, entity management, or state licensing a plus. Exposure to a regulated environment (financial services, public company, or similar) a plus. Notary commission and/or public-company filing experience a plus. #J-18808-Ljbffr HERCULES CAPITAL INC