Job Details

Corporate - Securities and Capital Markets Attorney in New York City, NY

Organization Type


Job Type


Posted on

May 04, 2021

Years of Experience

Min 10 yrs required


New York City, NY, United States
Practice Area
Corporate >> Corporate - Securities and Capital Markets
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Corporate Securities & Public Company Attorney
The candidate will advise on corporate securities and general public company compliance work. Will advise on public company and corporate securities law matters and related compliance, including SEC reporting, NASDAQ compliance, and public disclosures. Work closely with the Finance and Investor Relations team on financial reporting and disclosures, including earnings releases, Form 10-Q and 10-K reports and investor or credit rating agency presentations. Provide legal support for capital markets and capital raise transactions, including deal execution. Provide legal support for public disclosures, including Form 8-K reports. Communicate with and/or advise the CEO, CFO, General Counsel and the Audit Committee on securities-related matters. Provide legal and governance support for the Audit Committee of the Board of Directors. Assist with other financial disclosures required under applicable bank regulatory or other requirements. Advise on securities-related matters in connection with equity incentive, deferred compensation and other compensation plans. Assist with M&A transactions and bank regulatory matters, as needed.

Qualification and Experience

The candidate should have 10+ years of experience (either in-house or law firm). Must have strong public company experience and knowledge of applicable laws and regulations, including applicable SEC rules and regulations and NASDAQ listing standards. Experience working with or for a bank holding company or other regulated business is preferred. Must have superior writing and verbal communication and presentation skills. Must have J.D. from a top tier school and excellent academic credentials. Should have Active membership in good standing in at least one state Bar, preferably California or New York.

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