Corporate Legal Counsel

Our firm, a registered broker/dealer and RIA, is seeking 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. The 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.

About the role

We offer a unique opportunity to gain exposure to securities regulations, compliance, and corporate legal functions in the financial services industry. This is an on-site position at our Carpinteria, CA headquarters.

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.

Requirements

• Bachelor’s degree in political science (while attending law school) or Juris Doctor (JD) degree required.
• Admission to 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.

Skills

• Compliance: Ability to act in accordance with all pertinent rules, regulations, policies, and best practices.
• Communication: Ability to provide information concisely and unambiguously; excellent research, writing, and analytical skills; conflict management.
• Managing Processes: Time management; planning and priority setting; strong attention to detail; ability to manage multiple priorities; organization skills; ability to document information accurately; assess data quality and organize it coherently.
• Composure and Resiliency: Ability to deal effectively with pressure and maintain focus.

Pay

Starting salary is between $125,000 and $175,000 annually, determined by the scope of the position, the candidate's relevant experience, credentials/certifications, and internal equity.

Benefits

• Medical, dental, and vision coverage.
• 401k company match.
• Discretionary profit sharing.
• Paid time off (PTO).
• Valet parking.