The candidate will be responsible for SEC filings, including Forms 10-K, 10-Q, 8-K, S-8, and Section 16 filings. Prepare for annual stockholder meetings, including proxy statements and meeting planning and logistics. Support the preparation, organization and distribution of materials to Board of Directors and its committees and minutes of Board and Committee meetings. Ensure compliance with SEC and NASDAQ rules and regulations. Work closely with the Inves... read more
Counsel, Executive Compensation
The candidate will be an integral member of a team that advises and supports Board of Directors and its committees. Ensuring accurate communication to the board; the Counsel, Compensation prepares the company’s SEC filings and other public disclosure documents; plays a key role in the company’s annual/quarterly earnings announcements; leads compliance with NASDAQ listing rules; supports the annual meeting of stockholders; counsels other ... read more
Senior Counsel, Regulatory Attorney
The candidate will report directly to the Associate General Counsel and will be responsible for providing regulatory and business legal advice relating to broker-dealers and dual registrants. Will work closely with senior management on business initiatives and provide legal support on regulatory matters and examinations. Advise on securities laws, most particularly relating to broker-dealers; Familiarity with Reg BI and FINRA Rules and t...
Senior Counsel Employment and Executive Compensation
The candidate will negotiate terms and draft complex executive, manager and commissioned employee employment and retention agreements as well as separation agreements. Will review process around same and make and implement recommendations for improvements. Advise on and support business transactions that involve employment contracts, executive compensation as well as labor and employment issues. Advise on executive and b...