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Ensure compliance with federal and state securities laws, including ’34 Act and ’33 Act, NYSE listing requirements, Regulation FD and insider trading rules
Prepare and review SEC filings, including annual reports on Form 10-K, quarterly reports on Form 10-Q, current reports on Form 8-K, proxy statements, and Section 16 filings
Advise on public disclosures, including press releases, earnings releases, investor presentations and other external communications
Prepare and plan for the annual stockholder meeting and stockholder engagements
Advise on corporate governance requirements (including charters and regulatory requirements) and support preparing and reviewing materials for board and committee meetings
Essential Requirements
J.D. degree with admission to at least one U.S. state bar
5+ years of experience with advising public companies on securities, disclosure and governance matters.
Substantial experience delivering advice and counsel to business clients and demonstrated ability to work independently in a complex environment with a high degree of collaboration
Familiarity with disclosure controls and procedures applicable to publicly-traded companies
Strong oral and written communication skills with an aptitude for critical thinking and clear, succinct presentation
31 July 2024
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