Senior Principal - Legal Counsel (Corporate & Securities)

Job Family: Legal, Compliance & Audit

Job Sub-Family: Legal

Career Specialization: Legal Counsel

Career Stream: Professional

Career Level: P5

Job Profile

Position Description

This position advises the Company on public company and corporate law matters, including securities law compliance, public company reporting, corporate governance, and corporate transactions, with an emphasis on securities and public reporting. The position plays a critical role in driving best-in-class disclosure, governance and compliance practices that help protect the Company and advance its interests. The Company is entrepreneurial, dynamic, and growth-oriented, and the Senior Counsel - Corporate and Securities serves as a valued partner to the Company's senior and executive leadership. While the role spans the full range of corporate and securities matters, the ideal candidate brings depth in securities and public company reporting and will have the opportunity to grow into governance, strategic transactions, and other corporate areas over time. Members of the legal team work in an exciting, people-centered culture where their voice makes a difference

Sub-Family Definition and Position Responsibilities

The Legal area is responsible providing legal advice and counsel in business-related areas. Activities may include:

Securities Law & Public Recording

• Provide legal advice on public company matters, including compliance with the Securities Exchange Act of 1934, Securities Act of 1933, and NYSE listing standards
• Draft and review Forms 10-K, 10-Q, 8-K, Section 16 filings (Forms 3, 4, and 5), and proxy statements
• Advise on earnings releases, guidance, investor presentations and communications, and compliance with Regulation FD
• Administer the Company's insider trading policy and Rule 10b5-1 trading plans
• Develop and implement policies, processes, and strategies for compliance with corporate and securities laws and regulations
• Support interactions with regulators and auditors

Corporate Governance

• Prepare board materials and draft resolutions and board meeting minutes
• Support board of directors
• Monitor evolving governance standards and drive improvements

Strategic Transactions

• Support M&A and capital markets transactions including, for example, various cash management, liquidity and capital strategies such as issuances of debt and equity offerings, investments, asset sales and purchases, and financing arrangements
• Researching, analyzing, and interpreting proposed and existing laws, statutes, and regulations.
• Identifying, monitoring and addressing issues of legal risk.
• Structuring, drafting, negotiating and/or approving legal contracts, letters of agreement, policies and other documents.
• Representing/advocating for an organization in litigation, arbitration, mediation or other disputes with courts, government agencies, or other legal authorities.

Career Specialization Definition

Legal Counsel is responsible for providing legal advice, guidance, and support on business activities, transactions, regulatory matters, and organizational risks. Activities may include legal research, contract review, risk assessment, policy interpretation, dispute management, and regulatory compliance. Other duties as assigned.

Career Level Definition and Additional Responsibilities

Recognized master in a professional discipline typically obtained through advanced education and work experience. Responsibilities typically include:

• Provide expert, practical legal advice on a wide array of federal, state, and local laws and regulations affecting assigned lines of business and/or functions
• Develop sound legal assessments, interpretations, recommendations and opinions regarding the Company's legal rights and obligations
• Develop legal strategies for achieving business goals and resolving complex legal problems, with oversight as needed.
• Lead discussions on complex legal topics with internal partners
• Apply sound ethical judgment in execution of all duties and responsibilities
• Establishing operational plans for job area.
• Developing and implementing new products, processes, standards or operational plans that will have impact on the achievement of functional results.
• Requires communication with leadership.

Knowledge & Experience

• Bachelors Degree required and Completion of accredited Law School with degree (J.D.)
• Typically requires 8+ years prior experience, with mastery knowledge of job area
• Licensed Attorney admitted to practice in one of the following jurisdictions: Virginia, North Carolina, or Maryland; or be able to satisfy reciprocity or corporate counsel requirements for admission into one of those jurisdictions
• Experience in securities law and public company reporting. Legal experience ideally earned through a combination of law firm and in-house roles at a publicly traded company. Experience in the financial services industry is preferred but not required
• Strong working knowledge of securities laws and public company reporting, including the Securities Act of 1933, the Securities Exchange Act of 1934, Section 16, Regulation FD, and NYSE listing standards

Job Code: LGLCP5

FLSA Status: Exempt

Salary Grade: 121

We are proud to be an Equal Employment Opportunity employer. We maintain a drug-free workplace.

Compensation offered will be based on a variety of factors, including but not limited to education, work experience, skills, certifications, and geographic location, etc. The salary range for this role is $172,300--$376,510. Eligible teammates may participate in a comprehensive benefits package that includes medical, dental, vision, life insurance, disability coverage, paid time off, retirement savings through a 401(k) plan, wellness resources, and other programs designed to support teammates health and financial well-being, subject to plan terms and eligibility requirements. In addition, certain positions may be eligible for incentive compensation, bonuses, or other variable compensation, subject to applicable plans and performance criteria. General information on our comprehensive benefits package can be found by visiting Employee Benefits | Banking Career Benefits | Atlantic Union Bank