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Assistant General Counsel, Securities
Refer job# VNJK155516
 
Assistant General Counsel, Securities Responsibilities: Responsible for ensuring compliance with SEC and NYSE rules and requirements, management of filings with the Securities and Exchange Commission, including Forms 3,4,5, annual and quarterly reports on Forms 10-K and 10-Q, current reports on Form 8-K, proxy statements, Forms S-8, Section 16 filings, and other disclosure requirements. Advise on legal aspects of Sarbanes-Oxley compliance; Significant internal communications, and other announcements. Participate as a member of the Disclosure Committee; be a liaison with Transfer Agent; Advise on executive compensation matters, including incentive plans and programs, benefits, equity plan and administration and related public company disclosure considerations; Advise on credit arrangements and related compliance matters; Management of the company's insider trading policy and trading window; Support the CLO in connection with corporate Secretary responsibilities, including interfacing directly with the Board of Directors; Advise on compliance with corporate governance policies and Board and Board Committee governing documents and charters; and Work with outside counsel to ensure compliance with applicable corporate law, rules, and regulations.

Qualifications: JD Degree required. Must be a member in good standing of the Bar of at least one of the 50 states. Strong academic credentials. 5+ years of securities law compliance and offerings experience, with at least 3 years at a nationally recognized law firm. In-house experience at a public company is a significant plus. Experience interacting regularly with senior business leadership. Detail and solutions oriented. Independent and comfortable operating on a semi-autonomous basis. Must be willing to actively engage and dive into projects; this is not just a management role. Ability to be practical and display good business judgment. Comfortable working in a fast-paced high activity environment. Strong ability to influence, provide point of view and to listen. Excellent verbal and written communication skills. Ability to effectively work with various departments and levels within firm (including senior management) and manage cross functional teams, including finance, IR, and PR. Ability to maintain confidentiality and properly treat sensitive information. Ability to handle ambiguity and juggle many matters at once.
 
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