Paralegal

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.

Location Information:  On-Site at our Carpinteria, CA Headquarters

Salary Range: 

Starting salary is between $65k and $85k 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.

Our firm, a registered broker/dealer and RIA, is seeking a Paralegal to support our legal and compliance team. This role is ideal for a professional with 1–5 years of experience who wants to gain hands-on experience with regulatory compliance, contracts, and corporate governance in the financial services sector. We offer a unique opportunity to gain exposure to securities regulations, compliance, and corporate legal functions in the financial services industry. If you are looking to advance your career in a dynamic and highly regulated environment, we encourage you to apply!

• Assist in preparing, reviewing, and maintaining legal and regulatory documents, including contracts, agreements, compliance filings, corporate documents and minutes.

• Conduct legal research on SEC, FINRA, and state corporate and securities laws to support the legal and compliance teams.

• Help prepare and file regulatory reports and disclosures.

• Maintain accurate legal records and assist in document management.

• Coordinate with internal teams to ensure adherence to legal and regulatory policies.

• Assist in responding to regulatory inquiries and audits.

• Support legal counsel in corporate governance and risk management initiatives.

• Assist with the activities of the corporate secretary.

Essential Job Function:  This is NOT an Essential Job Function "Essential Staff" position.

• 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

• Bachelor’s degree required; paralegal certification preferred.

• 1–5 years of experience in a legal or compliance role, preferably in financial services, securities, or investment advisory.

• Strong understanding of corporate law and securities regulations, SEC and FINRA compliance, and corporate governance.

• Proficiency in legal research tools, Microsoft Office, and document management systems.

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.

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.