Corporate Counsel

Socket.dev; Carpinteria (CA); On-site; USD 125,000 - 175,000; Full time

Benefits offered by this job

Medical, dental and vision

401k company match

Discretionary profit sharing

PTO

Valet parking

Job summary

PlanMember Financial Corporation is seeking a Corporate Counsel to join the executive legal team in Carpinteria, CA. The role targets a mid-level attorney with 5+ years in legal, compliance, or regulatory work, focusing on regulatory compliance, contract negotiation, and financial industry laws.

You'll work with senior counsel and compliance officers on hands-on regulatory matters, partner with cross-functional teams, and contribute to policy development and governance. Exempt, on-site position.

Qualifications

• 5+ years of experience in a legal, compliance, or regulatory role, preferably within financial services.
• Strong knowledge of corporate and securities laws, SEC and FINRA regulations, and investment advisory compliance.
• Bachelor’s degree in political science (while attending law school) or JD degree; California bar license.

Responsibilities

• Draft, review, and negotiate contracts, vendor agreements, regulatory disclosures, corporate documents, and minutes.
• Conduct legal research on SEC, FINRA, and state securities regulations.
• Support regulatory inquiries and audits for the legal/compliance teams.
• Interpret legal documents to ensure alignment with financial industry regulations.
• Help develop firm policies and procedures related to securities laws.
• Collaborate with compliance, risk management, and business units.
• Provide guidance on corporate governance and risk mitigation strategies.
• Assist with activities of corporate secretary.

Skills

Regulatory compliance

Contract negotiation

Regulatory knowledge

Education

Bachelor’s degree in political science or JD

Tools

Legal research tools

Microsoft Office

Document management software

Job description

Corporate Counsel

Job Code: Corporate Counsel

FLSA Status: Exempt

Dept: Executive

Reports to: SVP General Counsel

Company Profile

Headquartered in beautiful Carpinteria, California, PlanMember is a growing financial services firm serving hundreds of thousands of clients nationwide. For more than three decades, PlanMember has provided premiere retirement and investment services to individual investors as well as employees of education, nonprofits, governmental and private sector organizations. PlanMember has been a top-ranked fee-based broker dealer since 2004 and top ten ranked for new retirement plans added and K-12 retirement plans.

With a mission of making a positive difference for our Partners, Members and Employees, PlanMember provides generous benefits and a personalized company culture that champions career growth and is looking for highly motivated individuals to join its growing team.

Location

Location Information: On-Site at our Carpinteria, CA Headquarters

Wage Band

Salary Range: Starting salary is between $125k and $175k annually, however, it is ultimately determined by the scope of the position the candidate's relevant experience, credentials/certifications and internal equity.

Benefits

• medical, dental and vision
• 401k company match
• discretionary profit sharing
• PTO
• valet parking

Job Summary

Our firm, a registered broker/dealer and RIA, is looking for a Corporate Counsel to join our legal and compliance team. This role is ideal for a mid-level attorney with 5+ years of relevant experience interested in regulatory compliance, contract negotiation, and financial industry laws. This position provides an opportunity to work closely with senior legal counsel and compliance officers, gaining hands‑on experience in the dynamic world of financial regulations.

Major Duties and Responsibilities

• Assist in drafting, reviewing, and negotiating contracts, vendor agreements, regulatory disclosures, corporate documents and minutes.
• Conduct legal research on SEC, FINRA, and state securities regulations.
• Support the legal and compliance teams in responding to regulatory inquiries and audits.
• Analyze and interpret legal documents, ensuring alignment with financial industry regulations.
• Assist with the development and implementation of firm policies and procedures related to securities laws.
• Collaborate with cross-functional teams, including compliance, risk management, and business units.
• Provide legal guidance on corporate governance and risk mitigation strategies.
• Provide legal counsel and advice to firm executives
• Assist with activities of corporate secretary.

Business Continuity

Essential Job Function: This is NOT an Essential Job Function "Essential Staff" position.

Competencies Required

Compliance

• Ability to act in accordance with all pertinent rules, regulations, policies, and best practices
• Ability to comprehend company's standards of conduct

Communication

• Ability to provide the information required by others in a concise, direct, and unambiguous way.
• Excellent research, writing, and analytical skills
• Conflict management

Managing Processes

• Time management
• Planning and priority setting
• Strong attention to detail and ability to manage multiple priorities.
• Organization skills and ability to document information.
• Assess data quality and organize it coherently
• Document the required information accurately

Composure and resiliency

• Able to deal effectively with pressure and maintain focus

Qualification Standards

• Bachelor’s degree in political science (while attending law school) or Juris Doctor (JD) degree required.
• Have successfully passed the California state bar
• 5+years of experience in a legal, compliance, or regulatory role, preferably within financial services.
• Strong knowledge of corporate and securities laws, SEC and FINRA regulations, and investment advisory compliance.
• Proficiency in legal research tools, Microsoft Office, and document management software.

Licenses and/or Certifications Required

Not Applicable

Position Information

PlanMember reserves the right to modify duties or job descriptions at any time.

EEOC

PlanMember Financial Corporation is an Equal Opportunity Employer. PlanMember does not discriminate on the basis of race, religion, color, sex, gender identity, sexual orientation, age, non-disqualifying physical or mental disability, national origin, veteran status or any other basis covered by appropriate law. All employment is decided on the basis of qualifications, merit, and business need.