Experience and Skills
* Law degree with a license to practice in one or more states.
* Minimum 3 year experience in Equity Capital Markets, with an emphasis on investment banking (corporate finance and M&A transactions), research, institutional sales, trading and market making.
* Current and broad knowledge of securities rules and regulations as well as corporate and general law.
* Ethical, reliable and responsible. Maintain client confidentiality.
* Solution-orientated individual who can work effectively and proactively with external and internal clients. Relates to others, at all levels, in a professional manner in order to accomplish work responsibilities and objectives.
* Excellent written and verbal communication skills; ability to communicate in a clear and service oriented manner.
* Experience drafting and successfully negotiating contracts, engagement agreements and client disclosure documents.
* Able to effectively prioritize; highly responsive to urgent situations with a strong attention to detail.
* Provide legal advice to Equity Capital Markets management. Recommend and assist in establishing, maintaining and implementing Company policies and procedures based on legal opinion.
* Participate and coordinate complex legal projects for Equity Capital Markets’ business lines, including investment banking, research, institutional sales, trading, market making, syndicate and CD-underwriting matters including federal, state and local laws regarding such matters.
* Review and/or draft transaction-related documents, including underwriting agreements, debt agreements, engagement letters, non-disclosure agreements, fairness opinions and other communications or disclosures for Equity Capital Markets business lines.
* Identify and research new laws, rules and regulations that will impact Equity Capital Markets. Distribute information regarding those policies and procedures to appropriate personnel. Assist in the development or modification of current policies and procedures to address any changes and communicate resulting process.
* Work closely and collaboratively with the Compliance Department on legal and regulatory issues and policies and procedures as noted above.
* Assist in the defense of the Company against litigation and respond to inquiries and subpoenas involving the Equity Capital Markets area and potentially other business units as needed. Coordinate and manage, together with the General Counsel, all aspects of litigation, including selection and management of outside counsel, production of documents, management of involved employees and witnesses and advising relevant business leaders.
* Participate in various Equity Capital Markets Committees as necessary or appropriate.
* Assist with special projects and perform other duties as necessary or requested.
We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.