Corporate Counsel
$125,000–$175,000 year
On-siteCarpinteria, California, United States
Job Summary
Draft, review, and negotiate contracts, vendor agreements, regulatory disclosures, and corporate documents. Conduct legal research on SEC, FINRA, and state securities regulations. Support the legal and compliance teams in responding to regulatory inquiries and audits by analyzing documents for alignment with financial industry regulations. Assist with developing firm policies related to securities laws and provide legal guidance to executives on corporate governance and risk mitigation. Collaborate with cross-functional teams including compliance, risk management, and business units. Assist with corporate secretary activities. This mid-level attorney role reports to the SVP General Counsel within PlanMember's legal and compliance team, a registered broker/dealer and RIA.
Required Qualifications
- Bachelor's degree in political science (while attending law school) or Juris Doctor (JD) degree
- 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
Desired Qualifications
- Experience in regulatory compliance, contract negotiation, and financial industry laws
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