Key Responsibilities

• Corporate Structure & Setup:

• Advise on the formation, structuring, and governance of corporate entities, including corporations, LLCs, and partnerships.
• Draft and review organizational documents (e.g., bylaws, operating agreements, shareholder agreements).
• Provide guidance on domestic and international corporate structures to optimize tax, operational, and legal strategies.

• Special Purpose Vehicle (SPV) Setup & Administration:

• Lead the creation and management of SPVs for various financial transactions, including securitizations and investments.
• Draft, review, and negotiate SPV formation documents, including trust agreements, servicing agreements, and other related contracts.
• Ensure compliance with all regulatory requirements related to SPV creation and ongoing administration.

• Asset-Backed Securities (ABS):

• Advise on the structuring and issuance of asset-backed securities, including the securitization of loans, leases, and other financial assets.
• Collaborate with investment and financial teams to design legally compliant securitization structures.
• Ensure compliance with securities laws and regulations (e.g., SEC, FINRA) related to ABS offerings and transactions.

• Broker-Dealer Registration:

• Provide legal advice on broker-dealer registration and ongoing compliance with FINRA, SEC, and state regulations.
• Draft and review documents related to broker-dealer operations, including Form BD and other regulatory filings.
• Advise on compliance programs for broker-dealers, including anti-money laundering (AML), know-your-customer (KYC), and supervisory requirements.

• Private Debt Markets:

• Advise on the structuring, negotiation, and regulatory aspects of private debt transactions, including private placements, direct lending, and credit facilities.
• Provide support for legal and compliance matters relating to debt issuance in private markets.
• Stay abreast of trends and developments in the private debt market and how they impact legal and regulatory requirements.

• Regulatory Compliance & Risk Management:

• Monitor changes in relevant laws, regulations, and industry practices, including SEC regulations, to ensure ongoing compliance.
• Develop and implement compliance programs and internal policies to mitigate legal risks, especially with respect to the SEC’s regulations on securities, asset-backed securities, and debt markets.
• Represent the company in negotiations, regulatory proceedings, and interactions with external legal counsel and government agencies.

• Transactional Support:

• Provide legal support for corporate finance transactions, including M&A, joint ventures, private debt issuance, and restructurings.
• Collaborate with internal teams and external counsel to facilitate due diligence and transaction closings.
• Draft, review, and negotiate transactional documents, including term sheets, purchase agreements, and disclosure documents.

Qualifications

• Education: Juris Doctor (JD) degree from an accredited law school.
• Licensure: Good standing within the US. Active membership a plus ( Or any affiliation with relevant U.S. legal associations)

Experience

• Minimum of 5-7 years of experience in corporate law with a focus on SPV setup and administration, asset-backed securities, broker-dealer compliance, and private debt markets.
• Experience in a law firm or in-house legal department handling complex financial transactions and regulatory matters.

Skills

• Deep knowledge of corporate governance, securities laws (e.g., Securities Act of 1933, Securities Exchange Act of 1934), FINRA regulations, and SEC compliance.
• Strong drafting, negotiation, and communication skills.
• Familiarity with the regulatory landscape of private debt markets and the structuring of private placements and credit facilities.
• Ability to work in a fast-paced environment and manage multiple projects simultaneously.
• Strong analytical and problem-solving abilities.

Preferred Qualifications

• LL.M. in securities law, corporate finance, or related field.
• Experience working with multinational corporations or financial institutions.
• Knowledge of SEC regulations governing private debt markets and asset-backed securities.
• Familiarity with structured finance transactions and derivatives.