legal matters related to securities and capital markets. Key... filings, such as Forms 10-K, 10-Q, 8-K, and proxy statements. - Representing issuers and underwriters in equity and/or debt offerings. - Counseling public companies on disclosure, corporate governance, and SEC... and stock exchan...
Title: General Counsel Job Responsibilities: The General Counsel acts as the principal legal advisor for the company, playing a strategic role in ensuring legal compliance and guiding the company through complex legal landscapes. Key responsibilities include: Corporate Governance & Executive...
of duties related to securities and capital markets. Specifically,... the candidate will handle the preparation of Exchange Act filings, including but not limited to Forms 10-K, 10-Q, 8-K, and proxy statements. The associate will represent issuers and underwriters in both...
Title: Associate, HONORS Program Job Responsibilities: **Members Only** Enforcement Associates, Honors Program make meaningful contributions to Enforcement’s investigations and decisions about whether to bring disciplinary actions against individuals and firms in the financial industry. Honors Associates gain substantive hands-on legal experience that develops...
Title: Transactional Research Solution Consultant Job Responsibilities: The Transactional Research Solution Consultant is a critical part of the Sales Operations Team at the company, primarily tasked with fostering and maintaining robust client relationships with the company's subscribers. This post-sales role focuses on...
Title: Vice President, Diversified, Carrying and Clearing Examinations Firm Group Lead Job Responsibilities: - Lead the strategic direction and execution of the Examinations Program for the Firm Group, ensuring effectiveness, efficiency, and alignment with Member Supervision goals and vision. - Set multi-year strategic...
Title: Vice President, Capital Markets, Fixed Income, and Compliance Testing Job Responsibilities: - Lead operations and execution for Capital Markets, Fixed Income Specialist, and Compliance teams, comprising over 120 examiners and managers. - Set multi-year strategic plans aligning with Member Supervision goals and...
in a variety of securities matters, including securities offerings... (public and private), the Securities Act of 1934 (Registered... Investment Advisors), the Securities Act of 1940 (Registered... Investment Companies) and related disclosures, filings and compliance obligations. The candidate should be self-starter...