Corporate Counsel — Financial Services & Compliance

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

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.