About this role
This role performs legal work covering U.S. securities law and corporate governance, with a focus on proxy statements and SEC filings for a public company. You will advise internal groups including Financial Reporting and Investor Relations and monitor changes in securities and corporate laws.
Key Responsibilities
- Review and prepare proxy statements and related shareholder meeting materials including D&O questionnaires
- Review and prepare SEC periodic filings including Forms 10-K, 10-Q, and 8-K plus Section 13 and Section 16 filings
- Handle 1933 Act securities offerings (including debt offerings) and equity compensation plan matters
- Advise on corporate governance including NYSE governance and filing requirements and governance document preparation
- Collaborate with Investor Relations and Corporate Communications on earnings releases, press releases, and public disclosures
Technical Overview
No technology stack is specified. The technical scope is legal compliance and drafting/review for proxy statements, SEC periodic filings (Forms 10-K/10-Q/8-K), Section 13 and Section 16 obligations, 1933 Act transactions, and NYSE governance-related documentation.
Ideal Candidate
The ideal candidate is an attorney at the AVP level with substantial experience handling U.S. securities and corporate governance matters. They have strong skills drafting and reviewing proxy statements and SEC periodic filings (Forms 10-K, 10-Q, 8-K) and advising on Section 13 and Section 16 reporting obligations, along with NYSE governance and disclosure work for Investor Relations.
Must-Have Skills
4 Year/Bachelor's degree or equivalent work experience (4 years of experience in lieu of Bachelor's) (Minimum Required)Law degree from an American Bar Associat
Required Skills
Proxy statement preparationSEC periodic filingsForm 10-KForm 10-QForm 8-KSection 13 filingsSection 16 filings1934 Act filings1933 Act transactionsD&O questionnairesrelated party transaction analysescorporate governance mattersNYSE governance and filing requirementsinvestor relations disclosurescorporate communications disclosurespress release reviewgovernance documents review
Hard Skills
Proxy statement preparationProxy statement for annual meeting of shareholdersD&O questionnairesRelated party transaction analysesShareholder meeting materialsSEC periodic filingsAnnual reports on Form 10-KQuarterly reports on Form 10-QCurrent reports on Form 8-KSection 13 filingsSection 16 filings1934 Act filingsForm 10-KForm 10-QForm 8-KForm 1934 Act filingsSection 16 reporting obligations1933 Act transactions1933 Act securities offeringsDebt offeringsEarnings releases and related materialsEquity plan mattersCorporate governance mattersStock exchange listing standardsNYSE governance and filing requirementsGovernance documentsCorporate policiesBoard and committee materialsInvestor Relations review and preparationCorporate Communications review and preparationPress releasesInvestor communications and presentationsCompany website reviewPublic disclosures reviewMonitor and advise on impacts of new and proposed corporate and securities lawsRegulatory compliance monitoring
Soft Skills
Day-to-day advice and counselCollaborative work with internal legal team and business partnersCross-functional collaborationAttention to detailStakeholder managementAbility to stay up to date on governance trends and legal issuesProfessional judgment
Certifications
Required
Law degree from an American Bar Associat(ed) institution
Keywords for Your Resume
AVPSecurities & Corporate Governance Attorneyproxy statementproxy statements for meetings of shareholders1934 Act filingsAnnual/Quarterly Reports on Forms 10-K/10-Qcurrent reports on Form 8-KSection 16 reporting obligations1933 Actsecurities offeringsearnings releasesequity plan matterscorporate governance mattersstock exchange listing standardsgeneral corporate law mattersNYSE governanceNYSE listing standardsD&O questionnairesrelated party transaction analysesSEC periodic filingsForms 10-KForms 10-QForms 8-KSection 13 filingsSection 16 filingsInvestor RelationsCorporate CommunicationsForm 8-KSection 13Section 16
Deal Breakers
Law degree from an American Bar Associat(ed) institution, 4 Year/Bachelor's degree or equivalent work experience (4 years in lieu of Bachelor's)
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