An asset management firm is looking for a qualified and experienced securities counsel to join their legal team and advise them on various aspects of securities law and regulation. You will be responsible for ensuring compliance with federal and state securities laws, rules and regulations, as well as providing legal support on securities offerings, disclosures, filings, transactions, litigation and enforcement matters.
- Provide legal advice and guidance on securities law and regulation, including the Investment Advisers Act, the Investment Company Act, the Securities Act, the Exchange Act, the Dodd-Frank Act, FINRA rules and other applicable laws and regulations.
- Draft, review and negotiate various securities-related documents and agreements, such as registration statements, prospectuses, offering memoranda, subscription agreements, shareholder agreements, disclosure documents, SEC filings and reports, etc.
- Assist with the preparation and review of periodic and current reports, proxy statements, shareholder communications and other disclosure materials.
- Monitor and advise on regulatory developments, industry trends and best practices relating to securities law and regulation.
- Coordinate with internal and external stakeholders, such as business units, senior management, auditors, regulators, investors, brokers, underwriters, counsel and other service providers.
- Manage and oversee securities-related litigation and enforcement matters, including responding to inquiries, investigations and subpoenas from the SEC, FINRA and other regulators or authorities.
- Conduct securities law training and education for employees and management.
- Perform other duties as assigned by the General Counsel or senior management.