New York Capital Markets & Corporate Compliance Associate

About the role

An elite Am Law 100 firm is seeking a mid-level Capital Markets & Corporate Compliance Associate (3+ years PQE) to join its prestigious New York office. This is an opportunity to work on sophisticated securities and corporate matters, including IPOs, PIPEs, SPACs, and cross-border compliance, with a clear path for professional growth.

Key Responsibilities

• Lead and draft SEC registration statements (S-1, F-1, S-3, F-3) and periodic reports (10-K, 10-Q, 8-K, 20-F, 6-K)
• Prepare and review proxy statements and materials for shareholder meetings
• Advises clients on compliance with ’33 and ’34 Act regulations, NYSE, and Nasdaq listing rules
• Manage capital markets transactions including IPOs, PIPEs, SPACs, and De-SPACs
• Draft and review corporate governance documents including bylaws, resolutions, operating agreements, and underwriting agreements
• Counsel clients on corporate actions such as ticker changes and reverse stock splits
• Collaborate with domestic and international teams, particularly on matters involving Chinese companies and law firms

Who You Are

• 3+ years’ experience in capital markets, securities law, and corporate compliance
• Experienced with SEC filings and reporting requirements
• Strong understanding of domestic and cross-border securities transactions
• JD from an ABA-accredited law school and admitted to the New York Bar (in good standing)
• Excellent drafting, analytical, and communication skills

Compensation

Salary Range: $325,000 – $375,000 (DOE)

Benefits

• Comprehensive health coverage
• 401(k)
• Paid parental leave
• Flexible PTO
• Disability insurance
• Student loan refinancing
• Wellness programs

Contact

Contact Freddie at freddie@thepeopleof.co.uk to express interest or learn more.