Senior Corporate Securities Associate Attorney

Recruiter

New York City, NY

Senior Corporate Securities Associate Attorney

Attorney

4-20 yrs required

No

A law firm in New York City, NY, is seeking a Senior Corporate Securities Associate Attorney or Counsel to join their team. The ideal candidate will possess extensive experience in securities law, corporate governance, and compliance, with a strong understanding of public company regulations. This role demands a minimum of 6 years of in-depth experience in handling securities offerings and corporate governance matters.

Duties:

• Provide expert legal advice on compliance with public company rules and regulations, including the Securities Act of 1933 and the Securities Exchange Act of 1934.
• Oversee and manage public and private offerings of securities, including drafting and reviewing registration statements and offering documents.
• Ensure adherence to national securities exchange listing rules and requirements.
• Prepare and file periodic reports on Forms 10-K, 10-Q, and 8-K, ensuring accuracy and timeliness.
• Draft and review proxy statements for annual and special shareholder meetings.
• Manage Section 16 Reporting, including Forms 3, 4, and 5, ensuring compliance with reporting obligations.
• Provide guidance on general corporate governance matters, including drafting board resolutions, corporate policies, press releases, and other governance documents.
• Offer legal counsel on broker-dealer, FINRA, investment adviser, and fund formation issues as needed.
• Represent clients in regulatory investigations, enforcement actions, and compliance audits.
• Collaborate with other legal professionals within the firm to deliver comprehensive legal services.

Requirements:

• Minimum of 6 years of in-depth experience in corporate securities law and corporate governance.
• Strong knowledge of the Securities Act of 1933, the Securities Exchange Act of 1934, and related regulations.
• Experience with public and private securities offerings and familiarity with national securities exchange listing rules.
• Proficiency in preparing and filing Forms 10-K, 10-Q, and 8-K, and drafting proxy statements.
• Expertise in Section 16 Reporting, including Forms 3, 4, and 5.
• General corporate governance experience, including drafting resolutions and policies.
• Broker-dealer, FINRA, investment adviser, or fund formation experience is a plus.
• Bar admission required for the jurisdiction of practice.

Education:

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

Certifications:

• Bar admission required for the jurisdiction of practice.

Skills:

• Extensive knowledge of securities law and corporate governance.
• Strong analytical and problem-solving skills.
• Excellent drafting, legal writing, and communication abilities.
• Proven ability to manage multiple projects and meet deadlines.
• Proficiency in legal research and regulatory compliance.
• Strong interpersonal skills and the ability to work effectively in a collaborative environment.

Job Location:

• New York City, NY

Benefits Offered:

• Competitive salary with performance-based bonuses.
• Comprehensive benefits package, including medical, dental, and vision insurance.
• 401(k) plan with employer contributions.
• Opportunities for professional development and career advancement.
• Dynamic and supportive work environment.