Corporate Counsel
Headquartered in beautiful Carpinteria, California, PlanMember is a growing financial services firm serving hundreds of thousands of clients nationwide. For more than three decades, PlanMember has provided premiere retirement and investment services to individual investors as well as employees of education, nonprofits, governmental and private sector organizations. PlanMember has been a top-ranked fee-based broker dealer since 2004 and top ten ranked for new retirement plans added and K-12 retirement plans.
With a mission of making a positive difference for our Partners, Members and Employees, PlanMember provides generous benefits and a personalized company culture that champions career growth and is looking for highly motivated individuals to join its growing team.
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.
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 Standards:
- 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.
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.
EEOC:
PlanMember Financial Corporation is an Equal Opportunity Employer. PlanMember does not discriminate on the basis of race, religion, color, sex, gender identity, sexual orientation, age, non-disqualifying physical or mental disability, national origin, veteran status or any other basis covered by appropriate law. All employment is decided on the basis of qualifications, merit, and business need.