Responsible for corporate registrations and providing business entity advice. Identify and address all legal requirements and ensuring business entity reports are filed in all 50 states to ensure the firm remains appropriately licensed.
Review and provide advice for SEC and FINRA filings, including 10-K, 10-Q, 8-K, Form BD, etc.
Work closely with finance regulatory reporting, including engagement of and representations for external auditors.
Identify risks and consult with subject matter experts to enable business objectives are met.
Conduct legal research and communicate the analysis to senior leaders throughout the firm.
Partner with business areas to bring perspective, create solutions and use judgment to determine next steps.
Effectively communicate and share information across the organization.
Manage a work load that is large, diverse and complex.
Requires J.D. and license to practice law in Missouri or an equivalent state
Requires 3-5 years of progressive responsibility as an attorney in private practice, in the public sector or in an in-house counsel capacity
Prior experience with corporate governance / compliance and securities regulation is highly preferred
Regulatory and industry experience is beneficial
Accounting or finance undergraduate degree or professional experience is preferred
Demonstrated ability to analyze and resolve complex matters
Sound judgment, decision making, and conflict resolution skills
Ability to be proactive and drive matters to conclusion
Ability to think strategically and execute tactically
Excellent communication skills and decision making ability required
Strong cross-function collaboration skills
Commitment to a high level of ethics, professionalism, and confidentiality
Highly organized, detail-oriented, resourceful, and adaptable to changing priorities
Strong verbal and written communication skills and strong interpersonal skills