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Mechanics Bank · 4 days ago

Associate General Counsel - Securities

Walnut Creek, CA

Full-time

Onsite

Senior Level

$180K/yr - $270K/yr

7+ years exp

Mechanics Bank is currently searching for an Associate General Counsel - Securities to join their team, emphasizing connection and partnership. This role involves supporting the General Counsel in compliance with securities laws, preparing SEC filings, and providing legal advice on various corporate matters.

BankingFinancial ServicesWealth Management

Responsibilities

Advising management on compliance with securities laws and regulations. Including reporting and disclosure requirements and other SEC rules; assisting with the preparation of SEC registration statements Forms 8-K, 10-K and 10-Q and the annual meeting proxy statement, and preparing Form 8-K, Section 16 filings and other SEC filings

Stock exchange regulations, public company listing standards, including NYSE and NASDAQ governance and filing requirements

Assisting with quarterly earnings press release materials and meetings, as well as other investor events

Providing securities law advice and compliance guidance for earnings releases, investor materials, management presentations and other communications

Assisting with shareholder services matters

Assisting with the Bank’s Insider Trading Policy and Section 16 report filings

Advising management in securities-related lawsuits, including shareholder disputes, insider trading cases, and other financial litigation

Reviewing, drafting, and preparing legal documents, including SEC filings, proxy statements, and annual shareholder meeting materials

Coordinate training on corporate policies, including securities trading and Regulation FD

Coordinating training on, and the compliance processes for, various corporate policies, including securities trading and Regulation FD

Providing legal support to the Board of Directors and Board Committees, which includes advising on substantive legal matters; developing meeting agendas; and preparing materials for Board/Committee meetings

Providing legal advice and counseling with respect to equity-based compensation plans, executive compensation matters and Section 16 reporting

Advising on other legal matters that arise across various functions within the Bank

Assisting the corporate secretary function, including subsidiary management, and various other corporate secretarial matters

Qualification

Securities law complianceSEC filingsCorporate governancePublic company listing standardsInsider Trading PolicyLeadership experienceLegal document preparationCommunication skillsProblem-solving skillsOrganizational skills

Required

Bachelors Degree from a 4 year institute and Graduate Degree JD required

Current Bar admission in at least one state

7 years professional experience as a practicing attorney, SEC filings and securities law compliance required

2 years leadership experience required

Approximately 0-10% travel required

Experience in supporting and/or working with boards of directors and senior management

Extensive experience with SEC filings and securities law compliance

Proven ability to manage and lead legal aspects of Corporate Finance matters

Knowledge of public company listing standards

Familiarity with overseeing Insider Trading Policy and Section 16 compliance matters

Strong experience advising on reporting and disclosure requirements under SEC, NASDAQ and NYSE rules, and working cross functionally to draft and review all periodic SEC reports and other SEC-related forms and filings

Strong understanding of corporate governance matters

Excellent work ethic and high degree of professionalism, and a proven ability to work both independently and within a team

Outstanding verbal and written communication skills

Superior organization, decision making and problem-solving skills

Ability to multi-task and work in a fast paced, changing environment and to balance multiple, concurrent projects

Preferred

California licensure preferred

Experience serving in an in-house corporate secretary office of a public company is preferred

Benefits

Medical, prescription, dental, and vision coverage for employees and their eligible family members

Employer paid Employee Assistance Program, Life Insurance, AD&D, and Disability benefits

Health Savings Account with employer contribution

Healthcare and Dependent Care Flexible Spending Accounts and Commuter/Parking Benefit

401(k) and Roth 401(k) with company contribution

529 Education Savings plan, Tuition Reimbursement Program and Student Loan Assistance Program

Supplemental Health plans, Voluntary Legal and Identity Theft Services

11 paid holidays, paid Sick days (accrual of one hour for every 30 hours worked), up to 25 paid vacation days, and 16 hours of paid volunteer time throughout the calendar year

Free personal checking and savings account; Discounted rates on primary residence loan with $0 origination fees (restrictions apply)