Securities Attorney

  • Capital Markets
  • Office Based, New York
  • Competitive Basic + Dental / Health Insurance + 401k + 401k Profit Sharing + Paid Time Off.
  • JOB-3339 SGL

Our client is currently seeking an attorney with securities transactions and compliance experience to work with both issuers and underwriters.

The Position:

Working in our client’s capital markets practice, the successful candidate will be responsible for:

  • Working with issuers, underwriters, and regulators related to IPOs, SEC registered follow-on offerings and private/exempt offerings.
  • Drafting SEC filings and correspondence, including Exchange Act compliance.
  • Managing NYSE, NASDAQ, and OTC compliance for public company clients.
  • Exchange Act reporting and compliance
  • Exchange Act registration statements (Forms 10 and 8-A)
  • Annual and quarterly reports (Forms 10-K and 10-Q)
  • Current reports (Form 8-K)
  • Proxy statements/proxy contests (Schedule 14A)
  • Information statements (Schedule 14C)
  • Tender offer statements (Schedule TO)
  • Insider filings (Forms 3, 4 and 5, Schedules 13G and 13D)
  • Using company provided e-mail, software, and system usage for tracking hours, maintaining client records, and contact information.

The Candidate:

Applicants will be expected to demonstrate:

  • A minimum of two years’ relevant securities experience in public SEC practice with NYSE, NASDAQ companies.
  • A  J.D. qualification from an accredited law school.
  • Good Standing in at least one state bar (preferably New York, Florida, or California.)
  • Experience of applying knowledge of securities law and corporate finance.
  • The ability to communicate clearly in writing and verbally.
  • The ability to work on multiple projects simultaneously and remain calm under pressure.
  • Initiative, excellent judgment, strategic thinking, and the ability to balance business needs and legal risks.
  • (Ideally) a second language in addition to English (Mandarin Chinese particularly preferred)
  • Comprehensive Experience in transactional law for Issuers and Underwriters

The Client:

Representing clients on the public listing of companies, raising capital, SEC-compliance, securities offerings, general corporate/commercial law, and international mergers and acquisitions, our client works with issuers and investors across North America and internationally.  With  multiple US offices, and regional offices in Europe and the Far East, the firm offers a collaborative work environment with experienced and supportive colleagues.