Corporate Counsel-Retirement Benefits

SURF’S UP! CORPORATE COUNSEL-SANTA BARBARA, CA: Growing financial services firm (broker-dealer and RIA), providing retirement and investment services to individual investors and employees of education, nonprofits, and governmental and private sector organizations, seeks corporate counsel with 5+ years in regulatory compliance, contract negotiation (vendor agreements, regulatory disclosures, corporate documents and minutes), and financial industry laws (SEC, NASD, NYSE, FINRA). Conduct legal research on federal and state securities regulations. Respond to regulatory inquiries and audits. Assist with development and implementation of firm policies and procedures. Collaborate with cross-functional teams, including compliance , risk management, and business units. Provide legal guidance on corporate governance and risk mitigation strategies. Assist with activities of corporate secretary. This is an IN-OFFICE role (flexibility for personal activities) with BEACH VIEWS. Base salary $125-175k.