Securities Counsel - Global Financial Institution
Job Title: Associate General Counsel, Securities
Location: New York, NY (Hybrid)
Compensation: Competitive base + bonus (targeting ~$260K - $280K + 40-60% bonus, commensurate with experience)
Overview
A leading publicly traded financial services firm is seeking a Securities Counsel to join its legal team. This role will focus on SEC reporting, securities law compliance, and corporate governance matters in a highly visible position supporting senior leadership.
Key Responsibilities
- Lead and support preparation of SEC filings, including 10-Ks, 10-Qs, 8-Ks, proxy statements, and other disclosures
- Advise on compliance with the Securities Act of 1933 and the Securities Exchange Act of 1934
- Provide guidance on disclosure obligations, Regulation FD, and public company reporting requirements
- Partner with finance, investor relations, and senior executives on earnings releases and investor communications
- Support corporate governance matters, including board and committee materials
- Assist with capital markets transactions, including debt and equity offerings
- Monitor regulatory developments and advise on evolving securities laws and best practices
Qualifications
- J.D. from a top law school; admission to NY (or ability to waive in)
- 5-10 years of relevant experience at a top law firm and/or in-house at a public company or financial institution
- Strong experience with SEC reporting and public company compliance
- Deep familiarity with the Securities Exchange Act, SEC rules, and disclosure frameworks
- Experience advising on capital markets transactions is a plus
- Excellent drafting, communication, and stakeholder management skills
Why This Role
- High-impact role with direct exposure to senior leadership
- Collaborative, business-facing legal team
- Stable, well-capitalized platform with strong market presence
- Competitive compensation and strong work-life balance relative to private practice
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