Securities Counsel Jobs | Attorney Jobs | GCConsulting.com
General Counsel Consulting
About us Attorney resources Employer resources Job listings Submit resume Contact Us
General Counsel Consulting
Sign In
Email:
Password:
Forgot your password?
New User?
Signup
GCC
General Counsel
Consulting
provided
exceptional
service in helping
my organization
recruit for a hard
to fill position.
They did extensive
work on the front
end to understand
our needs and
our culture and
began referring
highly qualified
candidates almost
immediately.
 
Melinda Burrows
Deputy General Counsel
- Litigation and
Compliance, Progress
Energy Service Company
LLC
 

Jobs for Law Students
Law Student - Law Firm in San Jose, CA
USA-CA-San Jose
File Clerk The candidate will be organizing and filing documents for client files. Creating compute.... [more]


Law Student - In-House in San Mateo, CA
USA-CA-San Mateo
Winter Intern ? Tax Services The candidate will serve as members of client service teams. Interns a.... [more]


Law Student - In-House in Chicago, IL
USA-IL-Chicago
Intern - Tax Services The intern will be exposed to a wide variety of projects and industries. Will.... [more]


Articles By
Harrison Barnes From
BCG Attorney Search

 

 
Click here
 

Job of the Day
Vice President, Privacy Policy with ESRB
New York City New York United States

Organization: Entertainment Software Rating Board (ESRB) Position: Vice President, Privacy Certified Location: New York, NY/ Remote Reports to: President of ESRB Are you an analytical leader with experience in privacy laws and regulations...


In House Legal Job Listings

YOUR WINDOW TO A WORLD OF OPPORTUNITIES
 
Welcome to the job listings section of General Counsel Consulting. We are constantly updating our jobs seven days a week. As a firm dedicated to in-house search and placement, our ability to forge strong relationships with top-rated companies around the world allows us to offer our candidates a breadth of opportunities we believe is unrivaled.
 
We are pleased that your assessment of options has led you to General Counsel Consulting, and we invite you to browse our website to learn more about our firm and the career opportunities we offer. If you would like to be considered for an in-house attorney position, feel free to submit your resume.
 
If you are an employer looking to hire an in-house counsel, please click here to contact us and submit your opening.
 
 

Securities Services / Institutional Trust and Custody Attorney

Milwaukee WI Securities Services / Institutional Trust and Custody Attorney Duties: Supports the Bank's Institutional Trust & Custody business. Interacts with sales, relationship, administration, operations, risk, and compliance staff; external customers; and external customers legal counsel. Negotiates complicated service contracts. Supports account onboarding and administration. Monitors the evolving regulatory and litigation environment and advises on complying with regulatory expectations and minimizing litigation risk. Advises on risk-control procedures and template service contracts. Contributes legal expertise to product development and novel account-investment transactions Supports responses to internal and external audits and administrative reviews, regulators exams, demands, litigation, regulatory action, and customer bankruptcy. Educates bank personnel about relevant legal topics. Manages outside legal counsel.

Basic Qualifications: Law Degree. Licensed by and in good standing with the appropriate State Bar association or other appropriate state attorney licensing authority. 5+ years of the in-house legal department or law firm experience advising financial institutions. Preferred Qualifications: Experience advising trustees, custodial banks, investment advisers, brokers, or insurance companies on investment ownership, registration, and administration. Expertise preferred in one or more of the following areas of law: fiduciary (OCC Reg. 9 and state trust law); insurance (state reinsurance and statutory-deposits regulation); securities (investment types, trading, settlement, 40 Act exemptions, Exchange Act Rule 15c3-3); Uniform Commercial Code (Article 9). Strong analytical skills. Ability to work independently. Comfort with and interest in working on a variety of legal matters. Excellent written, oral, and interpersonal communication skills. Strong commitment to client service.
Legal 5 - 0 Full-time 2021-09-18

Securities Services / Institutional Trust and Custody Attorney

Charlotte NC Securities Services / Institutional Trust and Custody Attorney Duties: Supports the Bank's Institutional Trust & Custody business. Interacts with sales, relationship, administration, operations, risk, and compliance staff; external customers; and external customers legal counsel. Negotiates complicated service contracts. Supports account onboarding and administration. Monitors the evolving regulatory and litigation environment and advises on complying with regulatory expectations and minimizing litigation risk. Advises on risk-control procedures and template service contracts. Contributes legal expertise to product development and novel account-investment transactions Supports responses to internal and external audits and administrative reviews, regulators exams, demands, litigation, regulatory action, and customer bankruptcy. Educates bank personnel about relevant legal topics. Manages outside legal counsel.

Basic Qualifications: Law Degree. Licensed by and in good standing with the appropriate State Bar association or other appropriate state attorney licensing authority. 5+ years of the in-house legal department or law firm experience advising financial institutions. Preferred Qualifications: Experience advising trustees, custodial banks, investment advisers, brokers, or insurance companies on investment ownership, registration, and administration. Expertise preferred in one or more of the following areas of law: fiduciary (OCC Reg. 9 and state trust law); insurance (state reinsurance and statutory-deposits regulation); securities (investment types, trading, settlement, 40 Act exemptions, Exchange Act Rule 15c3-3); Uniform Commercial Code (Article 9). Strong analytical skills. Ability to work independently. Comfort with and interest in working on a variety of legal matters. Excellent written, oral, and interpersonal communication skills. Strong commitment to client service.
Legal 5 - 0 Full-time 2021-09-18

Securities Services / Institutional Trust and Custody Attorney

Philadelphia PA Securities Services / Institutional Trust and Custody Attorney Duties: Supports the Bank's Institutional Trust & Custody business. Interacts with sales, relationship, administration, operations, risk, and compliance staff; external customers; and external customers legal counsel. Negotiates complicated service contracts. Supports account onboarding and administration. Monitors the evolving regulatory and litigation environment and advises on complying with regulatory expectations and minimizing litigation risk. Advises on risk-control procedures and template service contracts. Contributes legal expertise to product development and novel account-investment transactions Supports responses to internal and external audits and administrative reviews, regulators exams, demands, litigation, regulatory action, and customer bankruptcy. Educates bank personnel about relevant legal topics. Manages outside legal counsel.

Basic Qualifications: Law Degree. Licensed by and in good standing with the appropriate State Bar association or other appropriate state attorney licensing authority. 5+ years of the in-house legal department or law firm experience advising financial institutions. Preferred Qualifications: Experience advising trustees, custodial banks, investment advisers, brokers, or insurance companies on investment ownership, registration, and administration. Expertise preferred in one or more of the following areas of law: fiduciary (OCC Reg. 9 and state trust law); insurance (state reinsurance and statutory-deposits regulation); securities (investment types, trading, settlement, 40 Act exemptions, Exchange Act Rule 15c3-3); Uniform Commercial Code (Article 9). Strong analytical skills. Ability to work independently. Comfort with and interest in working on a variety of legal matters. Excellent written, oral, and interpersonal communication skills. Strong commitment to client service.
Legal 5 - 0 Full-time 2021-09-18

Securities Services / Institutional Trust and Custody Attorney

Washington DC Securities Services / Institutional Trust and Custody Attorney Duties: Supports the Bank's Institutional Trust & Custody business. Interacts with sales, relationship, administration, operations, risk, and compliance staff; external customers; and external customers legal counsel. Negotiates complicated service contracts. Supports account onboarding and administration. Monitors the evolving regulatory and litigation environment and advises on complying with regulatory expectations and minimizing litigation risk. Advises on risk-control procedures and template service contracts. Contributes legal expertise to product development and novel account-investment transactions Supports responses to internal and external audits and administrative reviews, regulators exams, demands, litigation, regulatory action, and customer bankruptcy. Educates bank personnel about relevant legal topics. Manages outside legal counsel.

Basic Qualifications: Law Degree. Licensed by and in good standing with the appropriate State Bar association or other appropriate state attorney licensing authority. 5+ years of the in-house legal department or law firm experience advising financial institutions. Preferred Qualifications: Experience advising trustees, custodial banks, investment advisers, brokers, or insurance companies on investment ownership, registration, and administration. Expertise preferred in one or more of the following areas of law: fiduciary (OCC Reg. 9 and state trust law); insurance (state reinsurance and statutory-deposits regulation); securities (investment types, trading, settlement, 40 Act exemptions, Exchange Act Rule 15c3-3); Uniform Commercial Code (Article 9). Strong analytical skills. Ability to work independently. Comfort with and interest in working on a variety of legal matters. Excellent written, oral, and interpersonal communication skills. Strong commitment to client service.
Legal 5 - 0 Full-time 2021-09-18

Securities Services / Institutional Trust and Custody Attorney

Chicago IL Securities Services / Institutional Trust and Custody Attorney Duties: Supports the Bank's Institutional Trust & Custody business. Interacts with sales, relationship, administration, operations, risk, and compliance staff; external customers; and external customers legal counsel. Negotiates complicated service contracts. Supports account onboarding and administration. Monitors the evolving regulatory and litigation environment and advises on complying with regulatory expectations and minimizing litigation risk. Advises on risk-control procedures and template service contracts. Contributes legal expertise to product development and novel account-investment transactions Supports responses to internal and external audits and administrative reviews, regulators exams, demands, litigation, regulatory action, and customer bankruptcy. Educates bank personnel about relevant legal topics. Manages outside legal counsel.

Basic Qualifications: Law Degree. Licensed by and in good standing with the appropriate State Bar association or other appropriate state attorney licensing authority. 5+ years of the in-house legal department or law firm experience advising financial institutions. Preferred Qualifications: Experience advising trustees, custodial banks, investment advisers, brokers, or insurance companies on investment ownership, registration, and administration. Expertise preferred in one or more of the following areas of law: fiduciary (OCC Reg. 9 and state trust law); insurance (state reinsurance and statutory-deposits regulation); securities (investment types, trading, settlement, 40 Act exemptions, Exchange Act Rule 15c3-3); Uniform Commercial Code (Article 9). Strong analytical skills. Ability to work independently. Comfort with and interest in working on a variety of legal matters. Excellent written, oral, and interpersonal communication skills. Strong commitment to client service.
Legal 5 - 0 Full-time 2021-09-18

Managing Counsel, Securities And Corporate Finance

Gardena CA Managing Counsel, Securities and Corporate Finance Duties: Work closely with the General Counsel to support the company with respect to securities reporting obligations, financing transactions and corporate governance. Manage the company's disclosure obligations and ensure compliance with all securities laws, rules and regulations. An ideal candidate will possess exceptional interpersonal skills and verbal and written communication skills, including the ability to sift through complicated legal and regulatory issues and communicate only the important aspects in a clear and concise manner at all levels within the organization. Manage the securities reporting obligations of the company ( 33 Act and 34 Act) Ensure compliance with securities laws, rules and regulations, including listing requirements Prepare and file Forms 8-K, 10-Q and 10-K, registration statements, Section 16 filings, 10b5-1 trading plans, annual proxy statements, and all related filings. Advise senior management on disclosure matters, including earnings and other press releases. Support and advise on corporate governance activities, including Board-related processes, policies and activities. Assist with governance policies and procedures, including those related to SOX, insider trading, corporate governance guidelines, and committee charters. Support and advise on debt and equity financings, mergers and acquisitions, joint ventures, strategic alliances and other corporate transactions. Support for executive compensation and equity compensation plans. Coordinate and oversee due diligence activities. Review, negotiate and draft contracts with vendors and other commercial transactions.

Qualifications: JD Degree or equivalent professional qualification from a nationally-recognized accredited law school. Membership in California State Bar, or active in at least one other State Bar. 8+ years of general corporate and securities experience at a leading law firm or in-house. Strong knowledge of relevant practice areas. Experience drafting and reviewing Forms 8-K, 10-Q, 10-K, proxy statements and registration statements. Familiarity with Section 16 filings and stock administration. Ability to manage multiple projects and meet deadlines with consistently high-quality work product in a fast-paced environment. Team player with ability to collaborate cross-functionally. Strong legal research and analytical skills. Excellent oral and written communication and interpersonal skills. Detail-oriented with excellent organizational skills, ability to multi-task, and the ability to problem-solve Work in a team-oriented environment and meet tight deadlines and prioritize projects with limited supervision. Self-directed in work prioritization and demonstrates superior judgment-making ability within the scope of the position's areas of responsibility.
Legal 8 - 0 Full-time 2021-09-17

Senior Corporate Counsel - Governance And Securities

Los Angeles CA Senior Corporate Counsel - Governance and Securities Responsibilities: Act as the principal legal contact for public market and securities-related compliance matters affecting. Prepare and review all SEC filings (10-K, 10-Q, 8-K, DEF14A proxy statements, etc.) in collaboration with key company stakeholders. Develop, evolve, implement and maintain policies and procedures to ensure SEC and Nasdaq compliance. Remain up-to-date on securities-related legal, regulatory and stock exchange-related developments and provide tailored advice regarding potential impacts and solutions. Be the primary owner of Board of Directors and corporate governance matters; manage preparation for the company's board and committee meetings (e.g. minutes, agenda, etc.). Evolve, refine and manage corporate governance policies and procedures in accordance with applicable legal requirements. Maintain committee charters and other key corporate governance documents. Assist with compensation matters including executive compensation, equity plan administration, Employee Stock Purchase Plan (ESPP) and 401(k) plan. Maintain and foster a deep understanding of business and culture to best enable tailored legal and business advice designed to foster responsible growth in alignment with the company's long term corporate objectives. Partner with legal, finance and compliance leaders to develop robust compliance processes.

Requirements: Law degree (JD Degree) from an ABA-accredited institution. Eligible to practice law in California. 7 years of substantive experience in corporate governance and securities at a Vault 50 law firm or in-house legal department at a public company. Thorough understanding of SEC rules and public company reporting requirements. Will Excel in: Demonstrated Contract Drafting Skills. Proven negotiation, drafting, and analytical skills for commercial contracts, including procurement and sales agreements. Workflow Prioritization. Demonstrated ability to prioritize workflow, meet demanding deadlines, and manage multi-faceted projects. Agility in a Fast-Pace Environment. Working in a high-functioning team environment. A positive attitude and a desire to contribute to a strong and supportive team. Ownership Oriented. A self-starter who values taking complete ownership of projects. Analytical Thinker. Ability to proactively identify, analyze and resolve issues, anticipate legal needs and provide business-focused and practical legal advice. Constant Learner. Are always willing and looking to expand knowledge, grow intellectually and take on new challenges. Excellent Verbal and Written Communication Skills. One of your strengths is the ability to communicate with confidence and competence to all stakeholders (including management). Attention to Detail. Excel at the particulars and value subtle nuances in drafting legal language. Organized and Dedicated Problem Solver. Excellent organizational and problem-solving skills.
Legal 6 - 0 Full-time 2021-09-17

Senior Corporate Counsel - Securities

Boston MA Senior Corporate Counsel - Securities Duties: Assist in the preparation of 10-Ks, 10-Qs, 8-Ks, Proxy Statements, Section 16 Reports, and other SEC-related documents. Assist with planning and executing the Annual Meeting of Stockholders. Work closely with senior leadership and investor relations regarding disclosure matters and NYSE, SEC, and corporate law requirements, including Reg FD and use of non-GAAP financial measures. Assist with public company communications, including press releases and investor presentations. Assist with administering the Insider Trading Policy, 10b5-1 plans, and related employee and director equity matters. Support the Treasury function, including advice on compliance with debt covenants. Support public company secretarial function, including assisting with the preparation of Board and committee materials. Support Internal Audit with SOX compliance matters. Stay current on governance trends and best practices, SEC and NYSE developments. Advise on capital markets transactions. Assist in the drafting and review of a wide variety of complex commercial contracts. Assist with subsidiary and affiliate entity management. Support M&A and other expansion activity.

Qualifications: Juris Doctorate Degree. An active member in good standing with the Florida Bar, or ability to be admitted as in-house counsel in Florida. 6+ years relevant SEC reporting and securities law compliance experience. 3+ years of law firm experience. Experience working with Boards of Directors and senior management. Highly organized and able to work both independently and as a member of a team. Strong business acumen and ability to advise on business-related legal issues and understand business consequences of legal advice. Excellent written and verbal communication skills, attention to detail, good business judgment, and the ability to handle multiple projects at one time.
Legal 6 - 0 Full-time 2021-09-17

Associate Counsel - Securities/Mutual Funds

Cincinnati OH Associate Counsel - Securities/Mutual Funds Responsibilities: Provides legal services on securities and regulatory matters relating to the registration and operation of mutual funds, exchange-traded funds, and variable insurance products, and provides advice regarding compliance with the Investment Company Act of 1940 ( 40 Act ). Advises Touchstone Securities Inc. and Touchstone Advisors, Inc. on legal matters relating to the Touchstone mutual funds and exchange-traded funds with moderate direct supervision. Communicates and negotiates with other attorneys and regulatory authorities to resolve disputes. Drafts legal documents and required filings with the SEC required in connection with the registration of various types of funds and variable insurance products. Undertakes complex research assignments. Assists with SEC filing requirements with respect to registration statements, annual and semi-annual reports, prospectus updates, proxy statement and registration of fund shares with moderate direct supervision. Is responsible for routine SEC filings with less direct supervision. Assists the Fund Board Secretary with board governance matters, including development of board materials and review of meeting minutes. Assists other attorneys as needed with projects they are overseeing. Effectively and efficiently manages outside counsel substantively on issues, as well as on budget. Performs other duties as assigned by management.

Requirements: JD degree in law from accredited law school and above average class standing. Computer skills and knowledge of hardware & software required. Proficient in the use of Word, PowerPoint and Outlook. License to practice law in Ohio. 2+ years experience in the role of Associate Counsel or equivalent title, and experience handling corporate law matters. Experience with 40 Act matters is preferred. Demonstrated experience in a corporate legal department and/or law firm, working with partners and also indpendently with clients on complex matters. Proven leadership abilities and excellent communication/interpersonal skills. Proven strong analytical skills, including demonstrated experience identifying, defining and resolving complex problems, and collecting, quantifying or interpreting data to establish facts, draw valid conclusions and provide creative resolutions. Must be able to cite examples of sound judgment, initiative and good decision-making skills when dealing with multiple alternatives. Demonstrated ability to conceptualize and use new methodologies. Proven experience in working with complex data and analyzing the quality of the output provided. Demonstrated strong contract drafting, and verbal and written communication skills. Demonstrated ability to convey information, verbally and in writing, to internal and external customers in a clear, accurate, focused and concise manner. Proven ability to effectively interact and communicate with all levels of staff and management. Demonstrated ability to document procedures and activities in a manner that is understandable to others and prepared using a prescribed format. Verbal and written communications are to conform to proper rules of punctuation, grammar, diction and style. Proven ability to work under pressure, prioritize and manage multiple tasks; meeting deadlines is imperative. Must cite examples of developing, organizing, initiating and maintaining a project and successfully accomplishing set goals. Demonstrated ability to build collaborative relationships with executive leadership and to influence others beyond direct control, both iIside and outside the Company. Demonstrated ability to collaborate with other attorneys and colleagues in the organization on legal and regulatory matters, cases and/or issues; proven appreciable knowledge and perspective of financial services businesses.
Legal 2 - 0 Full-time 2021-09-16

Senior Counsel - Corporate, Securities and Finance

Baltimore MD Senior Counsel - Corporate, Securities and Finance The candidate will lead corporate governance, securities, and financial management activities. Will work closely with senior executives across the organization and also the Board of Directors. Report to the Associate General Counsel and Corporate Secretary, and work closely with the Executive Vice President, Chief Corporate Development Officer, and Chief Legal Officer. Lead the company's efforts to ensure compliance with SEC and NYSE rules and regulations, including the '33 and '34 Acts. Lead/co-lead the company's efforts to prepare necessary materials relating to all public filings, including 10-Ks, 10-Qs 8-Ks, and Registration Statements. Develop a strategy to ensure the success and seamless operation of Board and Committee meetings, including drafting resolutions and minutes. Develop company strategy and provide legal counsel on corporate governance matters. Responsible for execution and disclosure of the Director's compensation program, including Form 3 and 4 filings. Responsible for proper disclosure of ongoing Executive Compensation-related matters, including Section 16 filings. Ensure maintenance of corporate governance records for parent and subsidiaries, including supervising the ongoing administration of domestic and foreign subsidiaries. Guide legal due diligence for all corporate finance transactions, including scope and execution of diligence plan, leading company management calls, and engage teams of specialists and outside counsel. Develop strategy and execute the company's plans to establish and qualify both domestic and foreign subsidiary companies. Provide legal counsel on securities law issues, including with regard to corporate insider trading policy and Regulation FD. Support the Managing Director, M&A, and Ventures and Senior Counsel - M&A and Ventures with respect to M&A activities and strategic transactions, including HSR filings. Work with finance and treasury group, including with regard to credit facilities. Work with tax group, including with regard to reorganization transactions. Provide legal counsel on a broad range of corporate legal matters as necessary. Must have 6-12 years of experience in securities, corporate, finance, and transactional work at a nationally accredited law firm and/or in-house. Experience working within the technology sector or for a technology company is a plus. Legal 6 - 12 Full-time 2021-09-16
Locations (hold down ctrl to chose multiple): Primary Area of Practice:
All USA Locations
All Practice Areas
   
Minimum Years of Experience:  
 
 
Keyword:
 
Submit    Submit
 
 
 

Legal Counsel
In-House,Federal Reserve Bank of Dallas
Location : Dallas Texas United States

                                                                                                                About the Role: Currently, the Legal department is looking for a versatile Counsel with a broad working knowledge of litigation, int... + read more

sep 17, 2021


In-House Counsel
In-House,Confidential
Location : Portland Oregon United States

IN-HOUSE CORPORATE COUNSEL OPPORTUNITY WITH A DYNAMIC, RAPIDLY GROWING COMPANY! As General Counsel of Fairway America, LLC, I am looking for the right candidate to fill an in-house corporate counsel position with our rapidly growing company.  Spec... + read more

sep 14, 2021


 1 2 3 4 5 6 
 
Securities Services / Institutional Trust and Custody Attorney
Refer job# OQZY161954
 
Securities Services / Institutional Trust and Custody Attorney Duties: Supports the Bank's Institutional Trust & Custody business. Interacts with sales, relationship, administration, operations, risk, and compliance staff; external customers; and external customers legal counsel. Negotiates complicated service contracts. Supports account onboarding and administration. Monitors the evolving regulatory and litigation environment and advises on complying with regulatory expectations and minimizing litigation risk. Advises on risk-control procedures and template service contracts. Contributes legal expertise to product development and novel account-investment transactions Supports responses to internal and external audits and administrative reviews, regulators exams, demands, litigation, regulatory action, and customer bankruptcy. Educates bank personnel about relevant legal topics. Manages outside legal counsel.

Basic Qualifications: Law Degree. Licensed by and in good standing with the appropriate State Bar association or other appropriate state attorney licensing authority. 5+ years of the in-house legal department or law firm experience advising financial institutions. Preferred Qualifications: Experience advising trustees, custodial banks, investment advisers, brokers, or insurance companies on investment ownership, registration, and administration. Expertise preferred in one or more of the following areas of law: fiduciary (OCC Reg. 9 and state trust law); insurance (state reinsurance and statutory-deposits regulation); securities (investment types, trading, settlement, 40 Act exemptions, Exchange Act Rule 15c3-3); Uniform Commercial Code (Article 9). Strong analytical skills. Ability to work independently. Comfort with and interest in working on a variety of legal matters. Excellent written, oral, and interpersonal communication skills. Strong commitment to client service.
 
EMAIL TO COLLEAGUE  PERMALINK
 
Securities Services / Institutional Trust and Custody Attorney
Refer job# LRNC161955
 
Securities Services / Institutional Trust and Custody Attorney Duties: Supports the Bank's Institutional Trust & Custody business. Interacts with sales, relationship, administration, operations, risk, and compliance staff; external customers; and external customers legal counsel. Negotiates complicated service contracts. Supports account onboarding and administration. Monitors the evolving regulatory and litigation environment and advises on complying with regulatory expectations and minimizing litigation risk. Advises on risk-control procedures and template service contracts. Contributes legal expertise to product development and novel account-investment transactions Supports responses to internal and external audits and administrative reviews, regulators exams, demands, litigation, regulatory action, and customer bankruptcy. Educates bank personnel about relevant legal topics. Manages outside legal counsel.

Basic Qualifications: Law Degree. Licensed by and in good standing with the appropriate State Bar association or other appropriate state attorney licensing authority. 5+ years of the in-house legal department or law firm experience advising financial institutions. Preferred Qualifications: Experience advising trustees, custodial banks, investment advisers, brokers, or insurance companies on investment ownership, registration, and administration. Expertise preferred in one or more of the following areas of law: fiduciary (OCC Reg. 9 and state trust law); insurance (state reinsurance and statutory-deposits regulation); securities (investment types, trading, settlement, 40 Act exemptions, Exchange Act Rule 15c3-3); Uniform Commercial Code (Article 9). Strong analytical skills. Ability to work independently. Comfort with and interest in working on a variety of legal matters. Excellent written, oral, and interpersonal communication skills. Strong commitment to client service.
 
EMAIL TO COLLEAGUE  PERMALINK
 
Securities Services / Institutional Trust and Custody Attorney
Refer job# WTQQ161956
 
Securities Services / Institutional Trust and Custody Attorney Duties: Supports the Bank's Institutional Trust & Custody business. Interacts with sales, relationship, administration, operations, risk, and compliance staff; external customers; and external customers legal counsel. Negotiates complicated service contracts. Supports account onboarding and administration. Monitors the evolving regulatory and litigation environment and advises on complying with regulatory expectations and minimizing litigation risk. Advises on risk-control procedures and template service contracts. Contributes legal expertise to product development and novel account-investment transactions Supports responses to internal and external audits and administrative reviews, regulators exams, demands, litigation, regulatory action, and customer bankruptcy. Educates bank personnel about relevant legal topics. Manages outside legal counsel.

Basic Qualifications: Law Degree. Licensed by and in good standing with the appropriate State Bar association or other appropriate state attorney licensing authority. 5+ years of the in-house legal department or law firm experience advising financial institutions. Preferred Qualifications: Experience advising trustees, custodial banks, investment advisers, brokers, or insurance companies on investment ownership, registration, and administration. Expertise preferred in one or more of the following areas of law: fiduciary (OCC Reg. 9 and state trust law); insurance (state reinsurance and statutory-deposits regulation); securities (investment types, trading, settlement, 40 Act exemptions, Exchange Act Rule 15c3-3); Uniform Commercial Code (Article 9). Strong analytical skills. Ability to work independently. Comfort with and interest in working on a variety of legal matters. Excellent written, oral, and interpersonal communication skills. Strong commitment to client service.
 
EMAIL TO COLLEAGUE  PERMALINK
 
 
Securities Services / Institutional Trust and Custody Attorney
Refer job# DTXQ161957
 
Securities Services / Institutional Trust and Custody Attorney Duties: Supports the Bank's Institutional Trust & Custody business. Interacts with sales, relationship, administration, operations, risk, and compliance staff; external customers; and external customers legal counsel. Negotiates complicated service contracts. Supports account onboarding and administration. Monitors the evolving regulatory and litigation environment and advises on complying with regulatory expectations and minimizing litigation risk. Advises on risk-control procedures and template service contracts. Contributes legal expertise to product development and novel account-investment transactions Supports responses to internal and external audits and administrative reviews, regulators exams, demands, litigation, regulatory action, and customer bankruptcy. Educates bank personnel about relevant legal topics. Manages outside legal counsel.

Basic Qualifications: Law Degree. Licensed by and in good standing with the appropriate State Bar association or other appropriate state attorney licensing authority. 5+ years of the in-house legal department or law firm experience advising financial institutions. Preferred Qualifications: Experience advising trustees, custodial banks, investment advisers, brokers, or insurance companies on investment ownership, registration, and administration. Expertise preferred in one or more of the following areas of law: fiduciary (OCC Reg. 9 and state trust law); insurance (state reinsurance and statutory-deposits regulation); securities (investment types, trading, settlement, 40 Act exemptions, Exchange Act Rule 15c3-3); Uniform Commercial Code (Article 9). Strong analytical skills. Ability to work independently. Comfort with and interest in working on a variety of legal matters. Excellent written, oral, and interpersonal communication skills. Strong commitment to client service.
 
EMAIL TO COLLEAGUE  PERMALINK
 
Securities Services / Institutional Trust and Custody Attorney
Refer job# DZJA161958
 
Securities Services / Institutional Trust and Custody Attorney Duties: Supports the Bank's Institutional Trust & Custody business. Interacts with sales, relationship, administration, operations, risk, and compliance staff; external customers; and external customers legal counsel. Negotiates complicated service contracts. Supports account onboarding and administration. Monitors the evolving regulatory and litigation environment and advises on complying with regulatory expectations and minimizing litigation risk. Advises on risk-control procedures and template service contracts. Contributes legal expertise to product development and novel account-investment transactions Supports responses to internal and external audits and administrative reviews, regulators exams, demands, litigation, regulatory action, and customer bankruptcy. Educates bank personnel about relevant legal topics. Manages outside legal counsel.

Basic Qualifications: Law Degree. Licensed by and in good standing with the appropriate State Bar association or other appropriate state attorney licensing authority. 5+ years of the in-house legal department or law firm experience advising financial institutions. Preferred Qualifications: Experience advising trustees, custodial banks, investment advisers, brokers, or insurance companies on investment ownership, registration, and administration. Expertise preferred in one or more of the following areas of law: fiduciary (OCC Reg. 9 and state trust law); insurance (state reinsurance and statutory-deposits regulation); securities (investment types, trading, settlement, 40 Act exemptions, Exchange Act Rule 15c3-3); Uniform Commercial Code (Article 9). Strong analytical skills. Ability to work independently. Comfort with and interest in working on a variety of legal matters. Excellent written, oral, and interpersonal communication skills. Strong commitment to client service.
 
EMAIL TO COLLEAGUE  PERMALINK
 
Managing Counsel, Securities And Corporate Finance
Refer job# WLTN161881
 
Managing Counsel, Securities and Corporate Finance Duties: Work closely with the General Counsel to support the company with respect to securities reporting obligations, financing transactions and corporate governance. Manage the company's disclosure obligations and ensure compliance with all securities laws, rules and regulations. An ideal candidate will possess exceptional interpersonal skills and verbal and written communication skills, including the ability to sift through complicated legal and regulatory issues and communicate only the important aspects in a clear and concise manner at all levels within the organization. Manage the securities reporting obligations of the company ( 33 Act and 34 Act) Ensure compliance with securities laws, rules and regulations, including listing requirements Prepare and file Forms 8-K, 10-Q and 10-K, registration statements, Section 16 filings, 10b5-1 trading plans, annual proxy statements, and all related filings. Advise senior management on disclosure matters, including earnings and other press releases. Support and advise on corporate governance activities, including Board-related processes, policies and activities. Assist with governance policies and procedures, including those related to SOX, insider trading, corporate governance guidelines, and committee charters. Support and advise on debt and equity financings, mergers and acquisitions, joint ventures, strategic alliances and other corporate transactions. Support for executive compensation and equity compensation plans. Coordinate and oversee due diligence activities. Review, negotiate and draft contracts with vendors and other commercial transactions.

Qualifications: JD Degree or equivalent professional qualification from a nationally-recognized accredited law school. Membership in California State Bar, or active in at least one other State Bar. 8+ years of general corporate and securities experience at a leading law firm or in-house. Strong knowledge of relevant practice areas. Experience drafting and reviewing Forms 8-K, 10-Q, 10-K, proxy statements and registration statements. Familiarity with Section 16 filings and stock administration. Ability to manage multiple projects and meet deadlines with consistently high-quality work product in a fast-paced environment. Team player with ability to collaborate cross-functionally. Strong legal research and analytical skills. Excellent oral and written communication and interpersonal skills. Detail-oriented with excellent organizational skills, ability to multi-task, and the ability to problem-solve Work in a team-oriented environment and meet tight deadlines and prioritize projects with limited supervision. Self-directed in work prioritization and demonstrates superior judgment-making ability within the scope of the position's areas of responsibility.
 
EMAIL TO COLLEAGUE  PERMALINK
 
 
Senior Corporate Counsel - Governance And Securities
Refer job# RULN161888
 
Senior Corporate Counsel - Governance and Securities Responsibilities: Act as the principal legal contact for public market and securities-related compliance matters affecting. Prepare and review all SEC filings (10-K, 10-Q, 8-K, DEF14A proxy statements, etc.) in collaboration with key company stakeholders. Develop, evolve, implement and maintain policies and procedures to ensure SEC and Nasdaq compliance. Remain up-to-date on securities-related legal, regulatory and stock exchange-related developments and provide tailored advice regarding potential impacts and solutions. Be the primary owner of Board of Directors and corporate governance matters; manage preparation for the company's board and committee meetings (e.g. minutes, agenda, etc.). Evolve, refine and manage corporate governance policies and procedures in accordance with applicable legal requirements. Maintain committee charters and other key corporate governance documents. Assist with compensation matters including executive compensation, equity plan administration, Employee Stock Purchase Plan (ESPP) and 401(k) plan. Maintain and foster a deep understanding of business and culture to best enable tailored legal and business advice designed to foster responsible growth in alignment with the company's long term corporate objectives. Partner with legal, finance and compliance leaders to develop robust compliance processes.

Requirements: Law degree (JD Degree) from an ABA-accredited institution. Eligible to practice law in California. 7 years of substantive experience in corporate governance and securities at a Vault 50 law firm or in-house legal department at a public company. Thorough understanding of SEC rules and public company reporting requirements. Will Excel in: Demonstrated Contract Drafting Skills. Proven negotiation, drafting, and analytical skills for commercial contracts, including procurement and sales agreements. Workflow Prioritization. Demonstrated ability to prioritize workflow, meet demanding deadlines, and manage multi-faceted projects. Agility in a Fast-Pace Environment. Working in a high-functioning team environment. A positive attitude and a desire to contribute to a strong and supportive team. Ownership Oriented. A self-starter who values taking complete ownership of projects. Analytical Thinker. Ability to proactively identify, analyze and resolve issues, anticipate legal needs and provide business-focused and practical legal advice. Constant Learner. Are always willing and looking to expand knowledge, grow intellectually and take on new challenges. Excellent Verbal and Written Communication Skills. One of your strengths is the ability to communicate with confidence and competence to all stakeholders (including management). Attention to Detail. Excel at the particulars and value subtle nuances in drafting legal language. Organized and Dedicated Problem Solver. Excellent organizational and problem-solving skills.
 
EMAIL TO COLLEAGUE  PERMALINK
 
Senior Corporate Counsel - Securities
Refer job# JORK161899
 
Senior Corporate Counsel - Securities Duties: Assist in the preparation of 10-Ks, 10-Qs, 8-Ks, Proxy Statements, Section 16 Reports, and other SEC-related documents. Assist with planning and executing the Annual Meeting of Stockholders. Work closely with senior leadership and investor relations regarding disclosure matters and NYSE, SEC, and corporate law requirements, including Reg FD and use of non-GAAP financial measures. Assist with public company communications, including press releases and investor presentations. Assist with administering the Insider Trading Policy, 10b5-1 plans, and related employee and director equity matters. Support the Treasury function, including advice on compliance with debt covenants. Support public company secretarial function, including assisting with the preparation of Board and committee materials. Support Internal Audit with SOX compliance matters. Stay current on governance trends and best practices, SEC and NYSE developments. Advise on capital markets transactions. Assist in the drafting and review of a wide variety of complex commercial contracts. Assist with subsidiary and affiliate entity management. Support M&A and other expansion activity.

Qualifications: Juris Doctorate Degree. An active member in good standing with the Florida Bar, or ability to be admitted as in-house counsel in Florida. 6+ years relevant SEC reporting and securities law compliance experience. 3+ years of law firm experience. Experience working with Boards of Directors and senior management. Highly organized and able to work both independently and as a member of a team. Strong business acumen and ability to advise on business-related legal issues and understand business consequences of legal advice. Excellent written and verbal communication skills, attention to detail, good business judgment, and the ability to handle multiple projects at one time.
 
EMAIL TO COLLEAGUE  PERMALINK
 
Associate Counsel - Securities/Mutual Funds
Refer job# IVLB161825
 
Associate Counsel - Securities/Mutual Funds Responsibilities: Provides legal services on securities and regulatory matters relating to the registration and operation of mutual funds, exchange-traded funds, and variable insurance products, and provides advice regarding compliance with the Investment Company Act of 1940 ( 40 Act ). Advises Touchstone Securities Inc. and Touchstone Advisors, Inc. on legal matters relating to the Touchstone mutual funds and exchange-traded funds with moderate direct supervision. Communicates and negotiates with other attorneys and regulatory authorities to resolve disputes. Drafts legal documents and required filings with the SEC required in connection with the registration of various types of funds and variable insurance products. Undertakes complex research assignments. Assists with SEC filing requirements with respect to registration statements, annual and semi-annual reports, prospectus updates, proxy statement and registration of fund shares with moderate direct supervision. Is responsible for routine SEC filings with less direct supervision. Assists the Fund Board Secretary with board governance matters, including development of board materials and review of meeting minutes. Assists other attorneys as needed with projects they are overseeing. Effectively and efficiently manages outside counsel substantively on issues, as well as on budget. Performs other duties as assigned by management.

Requirements: JD degree in law from accredited law school and above average class standing. Computer skills and knowledge of hardware & software required. Proficient in the use of Word, PowerPoint and Outlook. License to practice law in Ohio. 2+ years experience in the role of Associate Counsel or equivalent title, and experience handling corporate law matters. Experience with 40 Act matters is preferred. Demonstrated experience in a corporate legal department and/or law firm, working with partners and also indpendently with clients on complex matters. Proven leadership abilities and excellent communication/interpersonal skills. Proven strong analytical skills, including demonstrated experience identifying, defining and resolving complex problems, and collecting, quantifying or interpreting data to establish facts, draw valid conclusions and provide creative resolutions. Must be able to cite examples of sound judgment, initiative and good decision-making skills when dealing with multiple alternatives. Demonstrated ability to conceptualize and use new methodologies. Proven experience in working with complex data and analyzing the quality of the output provided. Demonstrated strong contract drafting, and verbal and written communication skills. Demonstrated ability to convey information, verbally and in writing, to internal and external customers in a clear, accurate, focused and concise manner. Proven ability to effectively interact and communicate with all levels of staff and management. Demonstrated ability to document procedures and activities in a manner that is understandable to others and prepared using a prescribed format. Verbal and written communications are to conform to proper rules of punctuation, grammar, diction and style. Proven ability to work under pressure, prioritize and manage multiple tasks; meeting deadlines is imperative. Must cite examples of developing, organizing, initiating and maintaining a project and successfully accomplishing set goals. Demonstrated ability to build collaborative relationships with executive leadership and to influence others beyond direct control, both iIside and outside the Company. Demonstrated ability to collaborate with other attorneys and colleagues in the organization on legal and regulatory matters, cases and/or issues; proven appreciable knowledge and perspective of financial services businesses.
 
EMAIL TO COLLEAGUE  PERMALINK
 
 
Senior Counsel - Corporate, Securities and Finance
Refer job# SUBJ161871
 
Senior Counsel - Corporate, Securities and Finance The candidate will lead corporate governance, securities, and financial management activities. Will work closely with senior executives across the organization and also the Board of Directors. Report to the Associate General Counsel and Corporate Secretary, and work closely with the Executive Vice President, Chief Corporate Development Officer, and Chief Legal Officer. Lead the company's efforts to ensure compliance with SEC and NYSE rules and regulations, including the '33 and '34 Acts. Lead/co-lead the company's efforts to prepare necessary materials relating to all public filings, including 10-Ks, 10-Qs 8-Ks, and Registration Statements. Develop a strategy to ensure the success and seamless operation of Board and Committee meetings, including drafting resolutions and minutes. Develop company strategy and provide legal counsel on corporate governance matters. Responsible for execution and disclosure of the Director's compensation program, including Form 3 and 4 filings. Responsible for proper disclosure of ongoing Executive Compensation-related matters, including Section 16 filings. Ensure maintenance of corporate governance records for parent and subsidiaries, including supervising the ongoing administration of domestic and foreign subsidiaries. Guide legal due diligence for all corporate finance transactions, including scope and execution of diligence plan, leading company management calls, and engage teams of specialists and outside counsel. Develop strategy and execute the company's plans to establish and qualify both domestic and foreign subsidiary companies. Provide legal counsel on securities law issues, including with regard to corporate insider trading policy and Regulation FD. Support the Managing Director, M&A, and Ventures and Senior Counsel - M&A and Ventures with respect to M&A activities and strategic transactions, including HSR filings. Work with finance and treasury group, including with regard to credit facilities. Work with tax group, including with regard to reorganization transactions. Provide legal counsel on a broad range of corporate legal matters as necessary. Must have 6-12 years of experience in securities, corporate, finance, and transactional work at a nationally accredited law firm and/or in-house. Experience working within the technology sector or for a technology company is a plus.
 
EMAIL TO COLLEAGUE  PERMALINK
 

Jobs From BCG Attorney Search

Location: USA-AZ-Phoenix

Phoenix office of a **MEMBERS ONLY**SIGN UP NOW***. Top Ranked Law Firm seeks executive compensation associate attorney with 3-5 years of the tax, securities, corporate and employment law experience n...


Location: USA-AZ-Phoenix

Phoenix office of a **MEMBERS ONLY**SIGN UP NOW***. Top Ranked Law Firm seeks capital markets/commercial lending associate attorney with 3+ years of experience in securitization or structured finance....


Location: USA-CA-Concord

Concord office of a **MEMBERS ONLY**SIGN UP NOW***. Top Ranked Law Firm seeks senior counsel with 5 years of civil defense experience. The candidate must preferably have a book of business and/or expe...


 

Shoot for the moon. Even if you miss it, you will land among the stars.