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Experience
- Prior experience supporting IPO and public company matters, including:
- Registration statements and numerical backup spreadsheets
- Beneficial ownership tables
- ’34 Act compliance
- Section 16 reporting
- Rule 144 and legend removal letters
- Transfer agent onboarding
- Stock exchange applications
- FINRA filings
- Selling stockholder matters
- Drafting/organizing closing documents, closing volumes, board resolutions, and minutes
Technical Skills
- Proficiency in Microsoft Outlook, Excel, and PowerPoint.
- Strong research capabilities using:
- Westlaw, LexisNexis, PACER, SEC/EDGAR, CapMx, ShareWorks, Carta, etc.
Core Competencies
- Excellent written and verbal communication skills.
- Strong organizational and time-management abilities with the capacity to manage multiple projects and deadlines.
- High degree of accuracy and attention to detail.
- Solid understanding of corporate and securities law (including SEC regulations).
- Ability to perform thorough legal and factual research.
- Experience working in law firm or financial environments preferred.
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