About this role
Major, Lindsey & Africa’s Interim Legal Talent group has an immediate need for an Interim Securities Counsel at an AI Platform.
Overview: An AI Company seeks an Interim Part-Time Securities Counsel.
Company: An AI Company
Experience: 10-15+ Years Experience in Public Securities Filings, including 10-Ks, 10-Qs, 8-Ks, proxy statements, Regulation FD, and Section 16 filings
Location: REMOTE. EST Hours preferred.
Responsibilities Include:
• Lead the drafting, review, and filing of all periodic and current SEC reports, including Forms 10-K, 10-Q, and 8-K. • Manage the annual proxy statement (DEF 14A) process, including drafting disclosures, coordinating D&O questionnaires, and overseeing the annual shareholder meeting. • Advise on and ensure compliance with Regulation FD; review earnings releases, investor presentations, and other external communications for legal and disclosure risks. • Manage Section 16 compliance, including the preparation and filing of Forms 3, 4, and 5, and oversee 10b5-1 trading plans. • Support the Board of Directors and its committees (specifically Audit, Compensation, and Nominating/Governance), including drafting and reviewing agendas, materials, minutes, and resolutions. • Maintain and update corporate governance policies, committee charters, and the company’s insider trading policy. • Provide counsel on fiduciary duties, corporate governance best practices, and compliance with SEC and exchange (e.g., Nasdaq/NYSE) listing standards. • Support the administration of public company equity incentive plans (e.g., RSUs, stock options, ESPP) in partnership with HR and Finance. • Work closely with the Compensation Committee on equity-related matters, grant approvals, and compensation disclosures. • Liaise with the company's equity plan administrator/broker to ensure seamless execution and compliance. • Provide issue-spotting and targeted review of commercial contracts, strategic partnerships, and M&A activities that intersect with public disclosure requirements. • Identify and escalate issues related to material nonpublic information (MNPI) and confidentiality. • Help refine internal processes for securities compliance, trading windows, and disclosure committee workflows.
Qualifications:
• 10+ years of dedicated legal experience heavily focused on public company securities, SEC reporting, and corporate governance. • Significant experience managing the SEC filing process for small to mid-cap public companies (in-house public company experience strongly preferred). • Deep expertise in SEC regulations, exchange listing rules, and proxy drafting. • J.D. from an accredited law school and active state bar membership in good standing.
Information regarding benefits can be found on MLA’s Website on the Consultant Resources Page: https://www.mlaglobal.com/en/consultant-resources
All interested and qualified candidates should apply directly with Major, Lindsey & Africa for review and consideration.
Major, Lindsey & Africa does not discriminate against applications on the basis of age, sex, race or any other protected characteristics pursuant to applicable state or federal laws.