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HUB International · 2 hours ago

Associate General Counsel, Securities and Deputy Corporate Secretary

Chicago, IL

Full-time

Onsite

Senior Level, Lead/Staff

$225K/yr - $300K/yr

8+ years exp

HUB International is a leading global insurance and employee benefits broker that focuses on protecting the aspirations of its clients. They are seeking an Associate General Counsel, Securities and Deputy Corporate Secretary to provide legal advice on securities offerings, regulatory compliance, and corporate governance, while supporting the Board and executive management.

Financial ServicesInsuranceInsurTechRisk Management

Responsibilities

Advise company on federal and state securities laws, including the Securities Act of 1933, the Securities Exchange Act of 1934, and other relevant regulations (such as Sarbanes-Oxley, Dodd-Frank, Regulation FD and the JOBS Act)

Primary responsibility for the legal aspects of any SEC required disclosures in the registration statement, prospectus and other periodic filings such as 10-Ks, 10-Qs, 8-Ks, and proxy statements. Responsibility for reviewing the accuracy and completeness of the company's financial statements

Responsibility for reviewing the terms of the offering and assisting in the closing

Monitor SEC and stock exchange rules and corporate governance developments

Advise company on securities law issues related to mergers, acquisitions, tender offers, and other corporate restructurings

Support the maintenance of and compliance with trading windows, support the creation and termination of 10b5-1 plans, creation and filing of all Section 16 forms for Section 16 officers

Lead the Section 16 compliance tracking reporting for Board and NEOs

Primarily responsible for developing and compliance with the insider trading policy and appropriate training for employees

Review and provide strategic advice on policies of proxy advisory firms, institutional investors and other rating agencies

Provide counsel and training to employees and others on insider trading, market manipulation, and other violations of securities law

Support the Chief Legal Officer in preparation for and organization of Board Meetings including Audit, Compensation and Nominating and Governance Committee meetings, including all supporting materials, minutes and resolutions

Draft board resolutions and maintain signature records

Assistance with subsidiary management and compliance matters

Manage process annual D&O questionnaire process and documentation with Board and NEOs

Conduct legal research, due diligence, and risk assessments related to securities transactions, investments, and other corporate activities

Work with a wide range of internal clients including senior executives across Canada and the US

Reviews any press releases and other communications to ensure compliance with securities regulations

Qualification

Securities law expertiseSEC complianceCorporate governanceLegal researchMicrosoft Office proficiencyProject managementAnalytical abilitiesClient-service attitudeTeam collaborationDetail orientedIntegrity

Required

Juris Doctorate (JD) degree is required, as well as being a member of a State Bar in good standing

Minimum of 8-12+ years' experience in securities and/or corporate law (particularly in SEC compliance), board and corporate governance, capital markets or regulatory enforcement, all resulting in a proven record of professional excellence and achievement

In-depth knowledge of securities laws, regulations, and legal precedents

Strong research, writing, and analytical abilities

Ability to work with complex legal and financial documents

Experience working effectively within a team oriented collaborative organization with an eagerness to learn the insurance brokerage industry

Demonstrated record of providing substantive/technical legal advice and support to clients

Strong project management skills, including ability to manage multiple projects simultaneously and effectively to completion

Positive client-service attitude

Detail oriented, with excellent organizational skills

Exercises good judgment

Ability to issue spot and summarize key points succinctly

Ability to be flexible and adaptive

Intellectual curiosity and a high degree of integrity