Our client, a publicly traded financial services organization, is seeking an experienced attorney to serve as a key legal advisor supporting securities compliance, public company reporting, corporate governance, and capital markets activities. Reporting directly to the Chief Legal Officer, this individual will partner closely with senior leadership across Finance, Treasury, Accounting, Tax, Investor Relations, and Compliance.

This is a highly visible role offering significant ownership, executive exposure, and the opportunity to build and improve key legal processes while serving as a trusted advisor on complex corporate finance and securities matters.

• Lead and support the preparation and review of SEC filings, including Forms 10-K, 10-Q, 8-K, and proxy statements.
• Review earnings releases, investor presentations, shareholder materials, and other external disclosures.
• Advise on securities law compliance, public company governance, insider trading policies, trading windows, blackout periods, and Rule 10b5-1 plans.
• Manage Section 16 reporting and related beneficial ownership requirements.
• Monitor evolving securities regulations, stock exchange requirements, and governance best practices.
• Partner with Treasury and Finance teams on debt financings and capital markets transactions.
• Support structured finance transactions, warehouse facilities, revolving credit facilities, private placements, and other financing arrangements.
• Coordinate with lenders, underwriters, trustees, auditors, rating agencies, and outside counsel throughout transaction lifecycles.
• Develop internal templates, playbooks, and scalable processes designed to increase efficiency and reduce reliance on external counsel.
• Serve as a subject matter expert for legal, compliance, and business stakeholders on securities and corporate finance matters.

• J.D. and active U.S. bar admission.
• 10+ years of experience in securities law, corporate governance, public company reporting, and/or corporate finance.
• Significant experience preparing and advising on SEC filings and public company disclosure obligations.
• Strong understanding of the Securities Act, Exchange Act, SEC reporting requirements, proxy rules, Section 16, Rule 10b5-1, Sarbanes-Oxley, and related governance frameworks.
• Experience advising senior executives on disclosure, materiality, and regulatory risk.
• Exposure to debt financings, structured finance, ABS transactions, warehouse facilities, private placements, or other capital markets transactions is highly preferred.
• Background at a leading law firm, federal agency, and/or public company environment preferred.
• Demonstrated ability to manage complex projects independently in a deadline-driven setting.
• Familiarity with AI-powered legal tools and practical applications that improve efficiency and legal workflows.