Public Company Compliance Specialist

2 days ago


New York, New York, United States Software Placement Group Full time

About the Job

We are seeking a highly experienced Public Company Compliance Specialist to join our team. In this role, you will ensure that public companies comply with all relevant securities regulations.

Key Responsibilities:

  • Provide compliance guidance to public companies
  • Handle public and private securities offerings and transactions
  • Navigate national securities exchange listing requirements and compliance issues
  • Prepare and review periodic reports and proxy statements
  • Manage and draft Section 16 filings
  • Develop and implement corporate governance practices

Requirements:

  • Minimum 6 years of experience in securities law
  • In-depth understanding of public company regulatory frameworks and securities transactions
  • Current Bar admission in one of the following jurisdictions: Boston, NYC, Philadelphia, or Washington DC

Preferred Qualifications:

  • Experience with broker-dealers, FINRA, investment advisors, or fund formation
  • Proven track record of leading complex securities transactions and compliance programs
  • Ability to mentor and lead junior associates
  • Strong negotiation and communication skills
  • Previous experience in a large firm environment

Salary: $230,000 - $260,000 per year



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