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Years of Experience
Date Last Verified
ProfileCounsel The candidate will support a variety of corporate legal areas, particularly public company compliance, corporate securities regulation and compliance, and general corporate governance. Will draft and provide legal support for SEC filings, including proxy statement, current reports on Form 8-K, and registration statements; advise the Finance and Investor Relations teams on matters relating to securities law compliance and disclosure, including annual and current reports on Forms 10-K and 10-Q, earnings releases, investor presentations, Section 16 reporting, and general disclosure matters. Provide legal support to the Compensation and Benefits team on matters relating to securities law compliance and disclosure, including executive compensation and other key compensation and benefit plans. Provide legal support for capital raising transactions, including equity and debt offerings, on an as needed basis. Provide support for matters relating to Board of Directors and certain of its committees including Governance and Audit Committees; support our general corporate governance matters, including subsidiary governance, insider trading program, related party transactions program, and Annual Stockholders Meetings. Provide legal support primarily to the Finance and Treasury teams on bank regulatory matters, including “Basel III” and other regulatory capital rules; assist with preparing for compliance with certain Comprehensive Capital Analysis and Review (“CCAR”) requirements and enhanced prudential standards, as applicable to banks over $50B in asset size and as required by the Dodd Frank and other implementing regulations provided by the Federal Reserve.
Qualification and Experience
The candidate should have JD degree from a top tier school and excellent academic credentials. Must have 3-5 years’ experience (either in-house or with a law firm) and 3+ years in corporate securities/governance experience. Should have strong writing and verbal communication and presentation skills. Excellent interpersonal skills, including the ability to team up and build relationships with others is essential. Must be familiar with laws and regulations relating to public company compliance, corporate securities regulation and compliance, and corporate governance, including the Securities Act of 1933 and the Securities Exchange Act of 1934 and related rules; Nasdaq listing standards; Sarbanes Oxley Act; Dodd Frank Act; and Delaware/California corporate law. A familiarity with Federal Reserve and California state banking regulations, including Bank Holding Company Act, “Basel III” capital rules, affiliate transactions, insider loans, etc., is helpful/desirable.
Requisition Number: 4933