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In House Legal Job Listings

Senior Counsel, Securities
Refer job# HPOF164559
Senior Counsel, Securities The candidate will prepare a comprehensive plan to address public company legal and securities compliance and governance requirements, and draft and oversee the implementation of necessary controls, processes and procedures. Provide counseling, training and general legal advice to the company on securities laws and requirements, including periodic reporting requirements, Nasdaq listing standards, beneficial ownership reporting requirements, Regulation FD, insider trading laws and securities transaction preclearance requirements. Oversee, draft and review periodic, current, and proxy SEC filings (10-Ks, 10-Qs, 8-Ks and PRE14A/DEF14A) under the 34 Act, Registration Statements (S-1, S-8, and S-3) under the 33 Act, Schedule 13Ds, Section 16 reporting (Form 3, 4 and 5 filings), blue sky and international filings to ensure compliance with federal, state and foreign securities law requirements. Manage the company's preclearance review and approval process for compliance with insider trading policy. Oversee, draft and review documentation and materials in respect of the group corporate governance requirements and compliance with Nasdaq and the SEC, including (i) drafting Board of Directors and Board Committee charters, documentation, consents, resolutions and D&O questionnaires, (ii) drafting and managing all policies and procedures relating to the corporate and organizational governance of the group, and (iii) analyzing and tracking related party transactions on a group-wide basis. Oversee and manage all aspects of the securities and cap table management function, including responsibility for the management of outstanding securities (in electronic and paper form) with the transfer agent. Review and advise internal stakeholders with respect to investor presentations, offering materials, public announcements, earnings releases, and investor call scripts and communications. Develop and maintain relationships with internal and external stakeholders, including communications, investor relations and outside counsel.

The candidate should have must have a J.D. degree from an ABA-approved law school, and be an active member in good standing of the California Bar or Washington, DC Bar, as applicable (or eligibility for in-house counsel registration). Should have 8+ years of securities and corporate governance experience. Strong leadership and communication skills. Excellent drafting and negotiation skills, with attention to detail. Ability to thrive in a fast-paced environment. Ability to work independently and with cross-functional clients.
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