Our client, a dynamic financial services organization committed to delivering exceptional value to our clients through innovative solutions and strategic investments is seeking to expand their operations and hire an experienced and dedicated Associate General Counsel specializing in Securities and Mergers & Acquisitions (M&A),
Position Overview: The Associate General Counsel - SEC and M&A will play a pivotal role in supporting the company's strategic initiatives and regulatory compliance. This position involves advising on SEC regulations, corporate governance, and transactional matters, particularly related to mergers and acquisitions. The ideal candidate will be a proactive problem solver with a strong understanding of financial services and corporate law, capable of navigating complex legal landscapes while fostering a culture of compliance and ethical conduct.
Key Responsibilities:
Securities Regulation:
- Provide expert legal advice on SEC regulations, including reporting requirements, insider trading, and disclosure obligations.
- Prepare and review SEC filings, including Form 10-K, Form 10-Q, and Form 8-K, ensuring compliance with all regulatory requirements.
Mergers & Acquisitions:
- Lead and advise on all aspects of M&A transactions, including due diligence, negotiation, drafting, and closing documents.
- Collaborate with internal stakeholders and external advisors to structure transactions effectively and mitigate legal risks.
Corporate Governance:
- Assist in developing and implementing corporate governance policies and practices in line with regulatory requirements and best practices.
- Support the Board of Directors and committees in legal matters, including preparing meeting materials and minutes.
Legal Research and Compliance:
- Stay current on relevant laws and regulations, industry trends, and best practices to provide timely and accurate legal guidance.
- Develop and deliver training programs for internal teams on SEC compliance and corporate governance matters.
Cross-Functional Collaboration:
- Work closely with other departments, including finance, compliance, and business development, to ensure alignment and address legal issues proactively.
- Build strong relationships with internal and external stakeholders to promote a culture of legal and ethical compliance.
Qualifications:
- Juris Doctor (JD) from an accredited law school.
- Admission to practice law in Texas.
- Minimum of 4 years of experience in securities law and M&A, currently at a law firm or in-house at a financial services firm with a strong focus on these areas.
- Strong understanding of SEC regulations, corporate governance, and transactional law.
- Excellent analytical, negotiation, and communication skills.
- Proven ability to manage multiple projects and priorities in a fast-paced environment.
- Commitment to maintaining the highest ethical standards and professionalism.
What We Offer:
- Competitive salary and performance-based bonuses.
- Comprehensive benefits package, including health, dental, and retirement plans.
- Opportunities for professional development and career growth.
- A supportive and inclusive work environment.
