SEC Governance Counsel in Work From Home at TradeStation

Date Posted: 4/22/2022

Job Snapshot

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Job Description

SEC Governance Counsel
Virtual US
TradeStation is an online brokerage firm seeking to level the playing field for self-directed investors and traders, empowering them to claim their individual financial edge.  At TradeStation, we're continuously pushing the boundaries of what's possible, encouraging out-of-the-box thinking and relentless search for innovation.  We offer a collaborative and flexible work environment, competitive salaries, comprehensive benefits and an unlimited PTO policy.
  • In coordination with Chief Legal Officer and SVP, Legal, provide advice and counsel to senior management, and work closely with appropriate accounting and finance personnel and operational and other personnel and outside accountants as needed, on company compliance with applicable securities laws and NYSE rules and regulations, including filing of all periodic SEC 1934 Act filings
  • Review and edit, or prepare, SEC filings, including 10-Ks, 10-Qs, Proxy/Information Statements, 8-Ks, Section 16 reports (Forms 3, 4 and 5) and 1933 Act filings (as necessary), and NYSE compliance filings, with oversight responsibility for timely coordination and filing
  • Become deeply familiar with all material aspects of company businesses to maximize accuracy, completeness and effectiveness of SEC disclosure filings
  • Maintain and manage company’s corporate governance and corporate secretary matters relating to the company’s securities and the company’s and subsidiaries’ Boards of Directors and board committees, including Sarbanes-Oxley compliance, Code of Business Conduct and Ethics, Related-Party Transaction Policy, Audit Committee Complaint Procedures (and related system), Insider Trading Policy, Investor Relations website, ESG policy/program, other relevant policies/procedures, and board committee charters
  • Responsibility for handling open window trading preclearance process (under Insider Trading Policy) and stock ownership and retention requirement compliance
  • Review and provide advice on internal and external communications in the context of securities law (Regulation FD)
  • Assist on executive and director compensation matters, including providing advice and counsel on matters relating to plan documentation and related securities matters (including preparation of registration statements on Form S-8)
  • Serve as a member of the legal team as a generalist, providing legal support to the business in a variety of practice areas
  • 7-12 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 regularly handles public company/capital markets matters (or both)
  • Exemplary writing/drafting skills
  • Must be an attorney in good standing with license to practice in at least one state (NY, DE and/or FL preferred)
  • Comprehensive knowledge of the Securities Act of 1933  and Securities Exchange Act of 1934 and the rules and regulations of the SEC under those acts (including Regulation S-K), and of the requirements of NYSE, as well as Sarbanes-Oxley, including such laws and regulations as they relate to emerging growth companies and controlled companies
  • 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
  • Excellent business judgment and ability to assess legal risk while also thinking strategically and providing practical advice
  • Strong work ethic and ability to multi-task, prioritize and follow through on numerous projects simultaneously
  • Must be a team player who is willing to pitch in where needed in a fast-paced, growing company