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Mid - level Corporate Attorney - Emerging Business
The candidate should have JD degree from top law school or have graduated in the top 20% of their law school class. Should have 3+ years of related experience at a national or Chambers-ranked boutique law firm. Excellent experience in Securities Exchange Act/SEC reporting, disclosures and public offerings are essential. Experience with private equity and M&A is needed. Demonstrated Drive to work with large companies that a...
Phoenix office of our client seeks corporate attorney with 2-4 years of securities practice experience. The ideal candidate must have meaningful, large-firm experience in public and private securities offerings, ’34 Act compliance, mergers and acquisitions, corporate governance, financing transactions, joint ventures, private equity and venture capital investments. Must be admitted to a US State Bar and in good standing. Admission to the Arizona Bar is expected.
Chief Compliance Officer
The candidate will be responsible for ensuring that CCC has in place all processes necessary to establish, maintain, review, test and modify written compliance policies and written supervisory procedures reasonably designed to achieve compliance with FINRA rules, federal securities laws and regulations, and any applicable state laws and regulations. Will be responsible for all compliance functions outlined in FINRA Rule 3130, and through technical ...