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Associate General Counsel, Corporate Securities
Refer job# VIPF135902
 
Associate General Counsel, Corporate Securities The candidate will hold primary responsibility for maintaining disclosure controls. Will assist with oversight of SEC periodic reporting (Form 10-Ks, 10-Qs, 8-Ks and Section 16 reporting) on behalf of the Bank as an issuer of public securities, compliance with SEC and stock exchange listing requirements, and general securities regulation. Shall also advise the Office of the Corporate Secretary, Treasury/Finance, External Reporting, Investor Relations, Executive Compensation, M&A, Communications and other teams on securities and SEC disclosure issues in connection with capital raising, investor communication and other corporate activities. Report to the Senior Vice President for Corporate Law. Regular review and maintenance of disclosure guidelines and controls in compliance with securities laws including Sarbanes Oxley, Dodd Frank and other applicable securities rules and regulations. Manage the preparation of SEC filings, including registration statements, Forms 10-K, 10- Q, SD and 8-K, proxy statement, and Section 16 reporting in compliance with securities laws. Advise on and ensure compliance with securities-related regulatory matters including NASDAQ listing standards, Regulation FD, insider trading, Sarbanes-Oxley Act, Dodd-Frank Act and executive compensation and stock plan matters. Advise on corporate finance matters, including public and private debt issuances, credit agreements, debt indentures and rating agency matters. May assign, direct and review the work of less senior lawyer's and-paralegals. Should have J.D. degree and admission to a State Bar. Should preferably have 15+ years of experience.
 
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