Senior legal assistant (Securities Law & Regulatory Compliance)

Senior legal assistant  (Securities Law & Regulatory Compliance)

2 To 10+ years of experience in securities law at a law firm, regulatory agency, or in-house legal department.

Location:

Employment Type:

Department: Securities Lawyer

Key Responsibilities:

Securities Law & Regulatory Compliance

• Advise on compliance with securities regulations including [SEC rules, Exchange Act, Securities Act, FINRA, MiFID II, SEDAR+, etc.].
• Oversee periodic reporting requirements (e.g. 10-K, 10-Q, 8-K, proxy statements) and disclosures for public companies.
• Ensure timely and accurate regulatory filings with relevant stock exchanges and securities commissions.

Capital Markets Transactions

• Support equity and debt offerings, IPOs, private placements, and secondary offerings.
• Draft and review offering documents, prospectuses, underwriting agreements, and disclosure materials.
• Liaise with investment banks, regulators, and external counsel during transactional processes.

Corporate Governance

• Advise on board and committee matters, governance policies, and compliance with listing requirements.
• Assist in drafting and reviewing governance-related documents, including charters, resolutions, and insider trading policies.

Risk Management & Internal Advisory

• Monitor developments in securities law and assess impact on the company or clients.
• Provide legal advice to internal stakeholders including Finance, Investor Relations, and Compliance.
• Support internal training and awareness on securities law and disclosure obligations.

Qualifications:

• Juris Doctor (JD), LLB, or equivalent legal degree from a recognized institution.
• Licensed to practice law in [relevant jurisdiction].
• 2 To 10+ years of experience in securities law at a law firm, regulatory agency, or in-house legal department.
• Strong knowledge of public company reporting requirements and securities regulations (e.g., SEC, CSA, ESMA).
• Experience in capital markets transactions and corporate finance.