Corporate Counsel – Securities & Compliance

PlanMember Financial Corporation; Carpinteria (CA); On-site; USD 125,000 - 175,000; Full time

Benefits offered by this job

Medical, dental, and vision insurance

401k company match

Discretionary profit sharing

PTO

Valet parking

Job summary

PlanMember Financial Corporation in Carpinteria, CA seeks a Corporate Counsel with 5+ years in regulatory compliance, contract negotiation, and securities laws to join our legal and compliance team on-site.

You will draft and negotiate contracts, research SEC/FINRA regulations, support audits, help develop policies, and advise executives on corporate governance and risk. This role offers exposure to financial services law and opportunities to collaborate across functions.

Qualifications

• 5+ years in legal, compliance, or regulatory role in financial services.
• Strong knowledge of corporate and securities laws, SEC and FINRA regulations.
• Proficiency with MS Office and document management software.

Responsibilities

• Draft, review, and negotiate contracts, vendor agreements, regulatory disclosures, and minutes.
• Research SEC, FINRA, and state securities regulations.
• Support responses to regulatory inquiries and audits.
• Develop and implement firm policies and procedures related to securities laws.
• Collaborate with compliance, risk management, and business units.
• Provide guidance on corporate governance and risk mitigation to executives.
• Advise firm executives on legal matters and assist corporate secretary activities.

Skills

Regulatory compliance

Contract negotiation

Legal research

Writing and analysis

Corporate governance

Education

Juris Doctor (JD) degree

California Bar Admission

Tools

Legal research tools

Job description

PlanMember Financial Corporation in Carpinteria, CA seeks a Corporate Counsel with 5+ years in regulatory compliance, contract negotiation, and securities laws to join our legal and compliance team on-site.

You will draft and negotiate contracts, research SEC/FINRA regulations, support audits, help develop policies, and advise executives on corporate governance and risk. This role offers exposure to financial services law and opportunities to collaborate across functions.