Corporate Counsel

PlanMember Financial Corporation•Carpinteria, CA

4h•$125,000 - $175,000•Onsite

About The Position

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.

Requirements

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.

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.