Recruiter

Chicago, IL

Mid/Senior Level Securities Associate Attorney

Attorney

2-8 yrs required

No

A law firm is seeking a Mid/Senior Level Securities Associate Attorney to join their team in Chicago, IL. The ideal candidate will play a crucial role in ensuring client compliance with federal and state securities laws, focusing on ’34 Act reporting. The position involves preparing, reviewing, and advising on various SEC filings, providing support for securities offerings and capital markets transactions, and advising on general securities disclosure matters.

Job Details:

Duties:

• Ensure client compliance with federal and state securities laws, with a primary focus on ’34 Act reporting.
• Prepare, review, or advise on routine client SEC filings, including Annual Reports on Form 10-K, Quarterly Reports on Form 10-Q, Current Reports on Form 8-K, Proxy Statements, and Section 16 filings.
• Provide support for securities offerings and capital markets transactions, encompassing public and private issuances of equity and debt securities, with a principal focus on issuer representations.
• Prepare, review, or advise on other SEC filings, such as Form S-8 and Form SD.
• Draft, review, and periodically update corporate governance and related policies, including Corporate Governance Guidelines, Clawback Policies, and Insider Trading Policies.
• Assist clients in preparing and planning for the annual stockholder meeting and shareholder engagements.
• Advise on general securities disclosure matters, including press releases, earnings releases, investor presentations, and other external communications.
• Assist clients with compliance with applicable NYSE and Nasdaq requirements, including annual and periodic updates.
• Provide, as needed, support for general mergers and acquisitions activity.
• Work with the firm's securities team to draft and publish blog entries and alerts on material new securities law developments.
• Coordinate training on securities and corporate governance matters, including insider trading and Regulation FD.

Requirements:

• Mid/Senior level candidate with at least 5 years of direct experience.
• Practice focused at least 50% on Securities work.

Education:

• Juris Doctor (JD) from an accredited law school.

Certifications:

• Admission to the Bar in the state of Illinois.

Skills:

• In-depth knowledge of federal and state securities laws.
• Experience in drafting and reviewing SEC filings.
• Strong understanding of capital markets transactions.
• Ability to provide sound legal advice on corporate governance matters.
• Familiarity with NYSE and Nasdaq requirements.
• Proficiency in mergers and acquisitions activities.
• Excellent communication and collaboration skills.
• Capability to stay updated on new securities law developments.