In House Counsel - Established Investment Banking Firm
In-House Counsel
Confidential Investment Banking Firm | California
Overview
An established investment banking firm with a strong U.S. presence is seeking an In-House Counsel to support its corporate, transactional, and regulatory activities. This individual will serve as a key legal partner to senior stakeholders, advising on corporate matters, securities regulations, and investment banking operations in a fast-paced, deal-oriented environment.
Key Responsibilities
- Provide legal advice on corporate and securities law matters, including routine corporate governance and complex transactions
- Support investment banking and capital markets activities, including public and private offerings, M&A, and strategic transactions
- Advise on and ensure compliance with SEC and FINRA regulations, including ongoing regulatory obligations and examinations
- Review, draft, and negotiate a wide range of agreements (engagement letters, NDAs, transaction documents, vendor contracts, etc.)
- Partner closely with business, compliance, and senior leadership to manage legal risk and support business initiatives
- Coordinate with and manage outside counsel as needed
Qualifications
- JD from an accredited law school and active bar membership in at least one U.S. jurisdiction
- Minimum of 6 years of experience practicing corporate law, ideally with a mix of law firm and in-house experience
- Strong working knowledge of SEC and FINRA regulations applicable to investment banking and broker-dealer environments
- Experience with corporate transactions, including M&A and capital markets matters
- Broker-dealer and/or investment banking experience strongly preferred
- Ability to operate independently while collaborating effectively with cross-functional teams
Why This Opportunity
- High-visibility role within a stable and well-established financial services platform
- Broad exposure to transactional, regulatory, and business-facing legal work
- Opportunity to partner closely with senior leadership and impact key business decisions
- Competitive compensation and benefits package
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