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
FAQs
Congratulations, we understand that taking the time to apply is a big step. When you apply, your details go directly to the consultant who is sourcing talent. Due to demand, we may not get back to all applicants that have applied. However, we always keep your resume and details on file so when we see similar roles or see skillsets that drive growth in organizations, we will always reach out to discuss opportunities.
Yes. Even if this role isn’t a perfect match, applying allows us to understand your expertise and ambitions, ensuring you're on our radar for the right opportunity when it arises.
We also work in several ways, firstly we advertise our roles available on our site, however, often due to confidentiality we may not post all. We also work with clients who are more focused on skills and understanding what is required to future-proof their business.Â
That's why we recommend registering your resume so you can be considered for roles that have yet to be created.Â
Yes, we help with resume and interview preparation. From customized support on how to optimize your resume to interview preparation and compensation negotiations, we advocate for you throughout your next career move.