Corporate Legal Counsel

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

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. We offer a unique opportunity to gain exposure to securities regulations, compliance, and corporate legal functions in the financial services industry.

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

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. We offer a generous compensation package that includes an attractive benefits package with medical, dental and vision, 401k company match, discretionary profit sharing, PTO, valet parking and more.

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.

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

Managing Processes

• 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

• 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.