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Assistant General Counsel Equity Capital Markets & Investment Banking
Refer job# HQXW167324
 
Assistant General Counsel - Equity Capital Markets & Investment Banking Duties: Provide proactive and timely legal and regulatory advice to the full-service Equity Capital Markets (ECM) and Investment Banking division of a multi-national financial services firm, with a focus on public and private distributions of equity securities by a U.S. broker-dealer. Advise on legal and regulatory requirements relating to equity private placements, including U.S. securities laws and regulations (Section 4(a)(2), 144A, Reg M, and Reg S), and related requirements of FINRA and other self-regulatory organizations (SROs). Advise on legal and regulatory requirements relating to offerings of equity securities, including IPOs, follow-on offerings, secondary offerings, PIPEs, unregistered secondary block distributions and associated matters, including wall crossings and testing the waters, with consideration of related SRO rules applicable to equity research and trading functions. Liaise with issuer and underwriter/placement agent counsel on equity offerings and review related transaction documents as necessary. Serve as the Legal Department's point person for Private Placement Committee and Capital Markets Committee meetings. Liaise with other counsel, supervision, and compliance functions regarding licensing/regulatory considerations for engagements involving clients and/or transaction counterparties outside of the US. Provide legal support to supervision and compliance efforts with respect to policies and procedures, continuing education, internal templates and documentation, and regulatory filings. Plans, assigns, monitors and leads the work of others. Reviews performance and evaluates results achieved by others. Coaches and mentors others, including providing guidance and direction to a paralegal staff and developing a regular program of continuing education and career development opportunities. Interprets, applies and recommends changes to organizational policies and procedures. Reviews progress of assignments with RJ counsel and senior management. Balances conflicting resource and priority demands. Assists others in developing, preparing and presenting legal theories and strategies. Provides advice, counsel and recommendations to senior management on corporate action. Prepares and delivers written and oral presentations to management and senior management on legal issues. Maintains currency in corporate laws and regulations related to assigned functional areas. Support Investment Banking and ECM associates located in the US, UK and Germany, in consultation and collaboration with RJ counsel and outside counsel. Operates standard office equipment and uses required software applications. Performs other duties and responsibilities as assigned.

Qualifications: JD Degree with excellent academic credentials and 7+ years of progressively responsible experience in relevant practice areas. OR Any equivalent combination of experience, education, and/or training approved by Human Resources. Ability to obtain Authorized House Counsel Licenses/Certifications. Knowledge of: Advanced concepts, principles and practices of laws and regulations related to assigned functional areas. Advanced investment concepts, practices and procedures used in the securities industry. Advanced principles of banking, finance, and securities industry operations, as applicable. Associated financial markets and products. Skill in: Managing a heavy volume of complex corporate legal functions related to assigned functional area. Developing, preparing and presenting legal theories and strategies. Preparing and delivering written and oral presentations to senior management on legal issues. Operating standard office equipment and using required software applications. Ability to: Plan, assign, monitor and lead the work of others. Review performance and evaluate results achieved by others. Coach and mentor others. Interpret, apply and recommend changes to organizational policies and procedures. Provide legal advice, counsel and recommendations to senior management on significant issues. Balance conflicting resource and priority demands. Partner with other functional areas to accomplish objectives. Facilitate meetings, ensuring that all viewpoints, ideas and problems are addressed. Gather information, identify linkages and trends and apply findings to assignments. Read, interpret, analyze and apply complex legal information. Prioritize and manage multiple priorities in a fast-paced, dynamically changing environment. Communicate effectively, both orally and in writing. Work independently as well as collaboratively within a team environment. Handle stressful situations, a heavy diverse case load and provide a high level of customer service in a calm and professional manner. Establish and maintain effective working relationships at all levels of the organization, including negotiating resources.
 
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