The People Of: Professional Services · 1 month ago
New York Capital Markets & Corporate Compliance Associate
New York, United States
Full-time
Onsite
Mid Level
$325K/yr - $375K/yr
3+ years expTPO search is an elite Am Law 100 firm seeking a mid-level Capital Markets & Corporate Compliance Associate to join its prestigious New York office. The role involves working on sophisticated securities and corporate matters with a clear path for professional growth, advising clients on compliance and managing capital markets transactions.
Management Consulting
Responsibilities
Lead and draft SEC registration statements (S-1, F-1, S-3, F-3) and periodic reports (10-K, 10-Q, 8-K, 20-F, 6-K)
Prepare and review proxy statements and materials for shareholder meetings
Advise clients on compliance with ’33 and ’34 Act regulations, NYSE, and Nasdaq listing rules
Manage capital markets transactions including IPOs, PIPEs, SPACs, and De-SPACs
Draft and review corporate governance documents including bylaws, resolutions, operating agreements, and underwriting agreements
Counsel clients on corporate actions such as ticker changes and reverse stock splits
Collaborate with domestic and international teams, particularly on matters involving Chinese companies and law firms
Qualification
Required
3+ Years PQE | Capital Markets & Corporate Compliance Focus
3+ years' experience in capital markets, securities law, and corporate compliance
Experienced with SEC filings and reporting requirements
Strong understanding of domestic and cross-border securities transactions
JD from an ABA-accredited law school and admitted to the New York Bar (in good standing)
Excellent drafting, analytical, and communication skills
Benefits
Comprehensive health coverage
401(k)
Paid parental leave
Flexible PTO
Disability insurance
Student loan refinancing
Wellness programs
And more
Company
The People Of: Professional Services
The People Of: Professional Services specializes in executive search within the legal sector across the United States.
2-10 employees
Funding
Current Stage
Early StageCompany data provided by crunchbase