Securities Lawyer (Regulatory Compliance) recruitment

Primary responsibilities include monitoring a global equity portfolio for compliance with applicable U.S. and foreign rules and regulations, preparing and completing SEC and other filings, and undertaking special projects as assigned. This is a great opportunity for a strategic and hands-on lawyer looking to make an immediate impact and the chance for continuous long term growth and learning.

Responsibilities:

The compliance function’s primary mandate is to monitor the organization’s equity portfolio activities and holdings and file relevant and required reports with domestic and foreign agencies. Compliance is responsible for analyzing regulatory requirements and understanding the applicability of these laws to the organizations activities and portfolio holdings. Specific duties include:

• Pro-active monitoring and identification of potential issues, timely communication of issues, and recommendations for resolution.

• Remain current on the broad universe of complex rules and regulations, analyzing, interpreting and acting as subject matter expert for the organization.

• Analysis and preparation for the following US filings, including:

a.Schedules 13D/G

b.Form 13F

c.Section 16 filings (Form 3, 4, or 5)

d.Form 144 filings

e.BEA quarterly and annual reports

f.FRBNY annual report

g.Large trader reporting

h.Hart-Scott-Rodino Premerger Notification Form

• Track and ensure compliance with employee trading policy.

• Identify areas where processes and procedures can be streamlined, improved or enhanced for maximum efficiency, working in partnership with peers to implement recommendations.

• Ownership and preparation of relevant reports to internal stakeholders.

• Assist with audits, special projects and other duties as assigned.

Requirements and Qualifications:

• J.D. degree with 5+ years experience in the securities industry.

• Experience with: Securities Exchange Commission (SEC) reporting.

• Experience within investment banking, investment management or law firm environments is ideal.

• Preference given to candidates with in-depth understanding of global equity markets.

• Solid quantitative skills, including ability to prepare reports such as daily trade calculations, weighted average stock prices, percentage ownership stakes. Understanding of financial statements preferred.

• Proficient in MS Office suite, including Word, Excel, Outlook. Bloomberg proficiency highly desired.

• Must possess superior interpersonal, verbal and written communication skills.

• Highly analytical and curious, with the ability to multi-task.

• Ability to work collaboratively in a team environment with internal and external contacts at all levels.

• Ability to work under pressure, while maintaining meticulous attention to detail.

Please forward resumes to legalresumes1@hotmail.com