Assistant General Counsel-Securities

Overview

An organization is seeking an experienced In-House Corporate Attorney with significant expertise in securities law and sophisticated financing transactions. This role involves providing legal advice and support across a wide range of corporate matters, focusing on securities offerings, regulatory compliance, and complex financial transactions. The position offers the opportunity to contribute to the legal strategy within a dynamic and fast-paced corporate environment.

Responsibilities

• Advise on securities law compliance, including adherence to the Securities Act of 1933, the Securities Exchange Act of 1934, and related SEC regulations such as periodic reporting, proxy rules, insider trading, and Section 16 compliance.
• Provide legal support for equity and debt offerings, including public offerings, secondary offerings, private placements, reinsurance, and other financing transactions.
• Counsel senior management and the board of directors on corporate governance matters.
• Structure, negotiate, draft documentation, and oversee complex financing transactions, including syndicated loans, asset-based financing, secured and unsecured credit facilities, bonds, hedging structures, private placement memoranda, public and structured equity, and intercompany financings including subordinated debt.
• Assist in due diligence, negotiation, and execution of mergers and acquisitions transactions, focusing on securities and financing aspects.
• Ensure compliance with securities laws and other regulatory requirements, managing corporate risk related to global capital markets and financing activities.
• Collaborate with internal departments such as finance, treasury, tax, and investor relations to provide legal guidance on transactional matters and strategic initiatives aimed at enhancing financing flexibility, liquidity, and capacity.
• Draft, review, and negotiate a variety of legal agreements related to financing, securities, and corporate transactions.
• Serve as the primary legal liaison for investors, underwriters, regulatory authorities, and other external stakeholders on securities law matters and financing transactions.

Requirements

• Juris Doctor (JD) degree from an accredited law school.
• Membership in good standing with the bar in all jurisdictions where licensed.
• Minimum of 5-7 years of legal experience at a top-tier law firm and/or in-house legal department, with a focus on securities law and corporate finance.
• Deep knowledge of U.S. securities laws and regulations, including the Securities Act, Exchange Act, Sarbanes-Oxley, Dodd-Frank, Gramm-Leach-Bliley, and SEC reporting requirements.
• Demonstrated experience advising on sophisticated financing transactions, including debt and equity offerings and complex lending arrangements.
• Strong drafting and negotiation skills, with experience handling high-value, complex transactions.
• Excellent analytical and problem-solving abilities, with a bias toward independent action and execution while managing multiple projects in a fast-paced, entrepreneurial environment.
• Proven ability to work cross-functionally and influence at all organizational levels.
• Exceptional interpersonal and communication skills, capable of effectively presenting legal advice to business leaders and external stakeholders.

Preferred Qualifications

• Experience in healthcare and insurance industries.
• Experience with review of statutory filings.
• Exposure to leveraging AI tools to automate complex financial reconciliations, improve accuracy of statutory filings, and streamline data collection across multiple jurisdictions.

Compensation & Benefits

• Salary range: $175,000 - $225,000 per year plus equity.
• Employer-sponsored health, dental, and vision plans with low or no premium.
• Generous paid time off.
• $100 monthly mobile or internet stipend.
• Stock options for all employees.
• Bonus eligibility for all roles excluding Director and above; commission eligibility for sales roles.
• Parental leave program.
• 401(k) program.
• Total rewards package available for full-time employees only; interns and contract positions are not eligible.

The actual base salary offered will depend on factors including qualifications, years of relevant experience, specific skills, education, certifications, and the location from which the employee will perform the job.

Location

Not specified.