Connecting linkedin



Senior Director or VP, SEC - Governance Counsel

  • Location


  • Sector:

    Financial Services and Banking

  • Job type:


  • Salary:

    $250,000 + equity

  • Contact:

    Katherine Barnes

  • Contact email:

  • Salary high:


  • Salary low:


  • Published:

    2 months ago

  • Expiry date:


  • Startdate:


We are partnered with a fast-growing global fintech client who is looking to add a Senior Director or VP level SEC-Corporate Governance Counsel to their online brokerage legal team. This position will be working closely with the Chief Legal Officer and SVP Legal providing advice and counsel to senior management. This is an exciting opportunity to join one of the most innovative fintech's in the industry.

Responsibilities Include:

  • Review/edit, and prepare, SEC filings, and 1933 Act filings, and NYSE compliance filings. 
  • Maintain and manage company’s corporate governance and corporate secretary matters relating to the company’s securities.
  • Handle open window trading preclearance process, stock ownership, and retention requirement compliance.
  • Become familiar with all material aspects of company businesses to ensure proper SEC disclosure filings.
  • Internal and external communications in the context of securities law.
  • Serve as a member of the legal team as a generalist, providing legal support to the business. 

Requirements Include:

  • 7+ years’ experience as corporate securities counsel either in-house for a publicly traded NYSE or Nasdaq company or in corporate department of high-caliber private law firm that handles public company/capital markets matters. 
  • An attorney in good standing with license to practice. 
  • Knowledge of the Securities Act of 1933 and Securities Exchange Act of 1934.
  • Knowledge of rules and regulations of the SEC and the requirements of NYSE.
  • Financial literacy and ability to comprehend and articulate corporate finance disclosure issues.
  • Understanding and proficiency in the principles and practice of the major aspects of corporate law.