Head of Legal USA

  • Location

    New York, USA

  • Sector:

    Banking & Financial Services

  • Job type:


  • Salary:

    bonus & full benefits

  • Contact:

    Maria Talebian

  • Contact email:


  • Job ref:


  • Published:

    7 months ago

  • Expiry date:


  • Startdate:


  • Consultant:


  • The ideal candidate will help build a legal platform & function as first legal hire for the USA business for a global boutique Investment Bank/ Capital Markets buisness. This is an excellent opportunity for a seasoned attorney with strong leadership & entrepreneurial skills.
  • 8-10 years plus Capital Markets/ ECM experience in a legal capacity with strong transactional focus
  • Capital markets transaction background in a financial services in-house role or alternatively, a top tier law firm with additional in-house experience
  • A sound knowledge of the typical ECM products including registered and unregistered share offerings with a particular focus on IPO's, rights issues, block trades as well as 144A private placements, is required
  • A strong grasp of the current regulatory and legislative securities environment in the US will be required, ideally including knowledge to access the US capital market from abroad (e.g. Regulation S, Regulation D, Section 4(a)(2), Section 4(1-1/2))
  • Comprehensive practical knowledge of all steps and documentary requirements at the various stages of a typical ECM transaction (such as prospectus drafting, due diligence and related disclosure matters, registration statement, SEC submission/filing process, NYSE/NASDAQ listing standards, legal opinions, comfort and engagement letters, underwriting agreements, agreement among managers, general corporate matters, etc.)
  • Understanding of the corresponding internal banking processes and related legal workstreams (e.g. collaboration with compliance, review of syndicate desk documentation, research related issues, share clearing and settlement, etc.)
  • Strong, hands on experience of advising and operating across multiple sites/locations and an appreciation of the flexibility required to operate in different legal environments is essential
    • Work as part of the wider in-house legal team across various group entities to provide legal support to the US and international Equity Capital Markets (ECM) business
    • Advising on ECM transactions, securities laws/regulations across the US
    • Take responsibility for standard and bespoke legal ECM documentation in close contact with the business teams
    • Mandate and coordinate external advisors, particularly Underwriter's Counsel(s) as appropriate for the respective capital markets transaction
    • Engage, as needed, with any of the support functions which also require/use legal advice e.g. Compliance, IT, etc.
    • Work closely with colleagues in the ECM, legal and compliance department, providing regulatory and legal support as needed

The SR Group (US), Inc. is acting as an Employment Agency in relation to this vacancy.