Corporate Counsel

Job CodeCorporate Counsel

FLSA StatusExempt

DeptExecutive

Reports toSVP General Counsel

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. 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.

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 StandardsEducation, Licenses, Work Experience, etc.

• 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: This job description is intended to convey information essential to understanding the scope of the position and is not an exhaustive list of skills, efforts, duties, responsibilities, or working conditions associated with it. PlanMember reserves the right to modify duties or job descriptions at any time.