Description:
Your Role:We're seeking a Securities Counsel who can support our fast-growing business across corporate, securities, commercial, and regulatory matters. You'll work closely with the Head of Legal and cross-functional teams to provide practical advice that keeps us compliant and supports our growth in the capital markets.
Key Responsibilities:
Securities and Capital Markets
- Manage the Company's SEC filings, securities compliance, and public disclosure matters, including periodic and current reporting, securities offering and registration filings, insider reporting, material event disclosures, and related regulatory matters.
- Support corporate governance and disclosure controls, including board and committee matters, Regulation FD compliance, and administration of the insider trading policy.
- Support the Company's capital markets and financing transactions, including equity, debt, and other securities financings, registered offerings, private placements, and exempt offerings under Regulation D and Regulation S; provide legal support on transaction structuring and the drafting, review, negotiation, and closing of transaction documents, and coordinate with investors, underwriters, placement agents, and outside counsel.
- Manage or support compliance with Nasdaq listing rules and continued listing requirements, including related filings, notifications, shareholder approval requirements, and communications with Nasdaq.
- Provide practical legal guidance to internal teams on the Securities Act, Exchange Act, Investment Company Act, Investment Advisers Act, FINRA rules, and related AML and custody requirements.
- Draft, review, and negotiate commercial and financial agreements, including underwriting, placement agent, brokerage, custody, investment advisory, and technology service agreements.
- Support M&A transactions, strategic partnerships, and cross-border corporate structuring, and oversee subsidiary maintenance in coordination with outside counsel.
- Support responses to SEC comments and inquiries, Nasdaq inquiries, and other securities regulatory matters.
- Support corporate governance and entity matters, including board and committee materials, resolutions, minutes, consents, and maintenance of corporate records, in coordination with the Legal team.
- Draft, review, and negotiate routine commercial agreements, including customer, vendor, licensing, nondisclosure, consulting, and technology service agreements.
- Coordinate with outside counsel on subsidiary maintenance, cross-border corporate structures, and applicable governmental and regulatory filings and ongoing compliance requirements.
- Provide practical legal support to internal business and functional teams on day-to-day operational matters, including employment, data privacy, anti-corruption, and intellectual property, involving specialist counsel as appropriate.
- Help develop scalable legal processes and a corporate governance framework appropriate for a U.S. public company.
Basic Qualifications:
- J.D. or LL.M. degree from an accredited law school and active bar membership in good standing.
- 4–7 years of experience at a leading law firm or in-house legal department.
- Strong foundation in corporate and securities law, with experience advising on fund structures or investment products preferred.
- Excellent communication, drafting, and project management skills.
- Pragmatic, detail-oriented, and able to balance legal risk with business goals.
Preferred Qualifications:
- Fluency in both Mandarin and English.
- Experience with registered and private fund vehicles, exempt offerings (e.g., Regulation D and Regulation S), or cross-border investment structures.
- Prior in-house experience at a public company or financial institution.
- A genuine interest in securities regulation, capital markets, and financial services legal operations.
