Securities Attorney

Job Description:

This role involves providing legal guidance on securities law compliance, corporate governance, finance and M&A activities, and go-public transactions. The ideal candidate will have a passion for meeting the needs of newly public or soon-to-be public companies in a fast-paced environment.

Key Responsibilities Include

Securities Law & Public Company Compliance

• Maintain responsibility for the legal aspects of all SEC filings and ensure continuous compliance with SEC and exchange regulations.
• Assist in the planning and execution of the annual meeting of stockholders.
• Advise on securities law issues including Regulation FD, insider trading policies, and Sarbanes-Oxley compliance.
• Monitor and ensure compliance with federal and state securities laws, NASDAQ/NYSE rules, and industry standards.
• Counsel on a range of corporate-related matters such as executive compensation, equity plans, stock administration and related policies.

Securities Transactions

• Prepare documentation for public and private securities offerings.
• Preparation of registration statements for initial public offerings.
• Prepare required change-of-control and large transaction-related filings and all related transactions and filings with transfer agents and listing agencies.

Corporate Governance

• Provide legal support for clients Boards of Directors and committee meetings, including preparing and drafting meeting materials and resolutions, managing board/committee communications, maintaining corporate minutes and records, and onboarding new directors.
• Prepare and coordinate board and committee meeting materials in collaboration with clients senior leadership.
• Advise on corporate governance best practices and evolving regulatory expectations.
• Manage global subsidiary governance, draft organizational documentation, and maintain comprehensive corporate records.

Finance & M&A Support

• Provide legal support for capital markets transactions, bank financings, and tax restructuring projects.
• Support clients in mergers and acquisitions, divestitures, strategic investments, and other complex corporate transactions from initial agreement to closing.
• Conduct legal due diligence and assist with documentation for mergers, acquisitions, and divestitures.

Qualifications

• Minimum 7 years of legal experience at a top-tier law firm and/or in-house legal department, with significant exposure to securities law, corporate governance, and transactional work.
• J.D. from an accredited law school; licensed to practice law in Wisconsin, Illinois, Texas, Michigan or Colorado
• Outstanding analytic, communication, negotiation, and drafting skills.
• Self-starter with a demonstrated ability to manage multiple projects in a high volume, fast-paced environment.
• Excellent multitasking and organizational skills.
• Strong work ethic and ability to work independently.
• Excellent written communication and interpersonal skills.
• Detail-oriented, business-friendly, team player, with an ability to accommodate tight deadlines in a fast-paced environment.
• Excellent legal and business judgment and strategic thinking.
• Ability to identify and resolve legal issues quickly and communicate effectively to all levels of a client s organization.

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