HUB International
Associate General Counsel, Securities and Deputy Corporate Secretary
HUB International, Chicago, Illinois, United States, 60290
Overview
At
HUB International , we are a team of entrepreneurs. We believe in protecting and supporting the aspirations of individuals, families, and businesses. We help our clients evaluate their risks and develop solutions tailored to their needs. We believe in empowering our employees to learn, grow, and make a difference. Our structure enables our teams to maintain their own unique, regional culture while leveraging support and resources from our corporate centers of excellence. HUB is one of the largest global insurance and employee benefits brokers, providing a broad range of business insurance, employee benefits, risk services, personal insurance, retirement, and private wealth management products and services. With over $5 billion in revenue and almost 20,000 employees in 600 offices throughout North America, HUB has grown substantially, in part due to our industry leading success in mergers and acquisitions. ABOUT THE ROLE Join our growing team. HUB is looking for an
Associate General Counsel, Securities and Deputy Corporate Secretary , who will play an important role in the preparation for future securities offerings and advise on a wide range of other securities-related matters, including regulatory compliance, SEC and SOX compliance, corporate and board governance, required disclosures, insider trading, and investor relations. The role includes providing advice to the Board, Chief Legal Officer, Executive Management, and employees, and coordinating with the Chief Accounting Officer, Chief Financial Officer, and Investor Relations on SEC and other filings. Occasionally, this attorney may provide other legal support to the business. Responsibilities
Advise the company on federal and state securities laws, including the Securities Act of 1933, the Securities Exchange Act of 1934, and other relevant regulations (such as Sarbanes-Oxley, Dodd-Frank, Regulation FD and the JOBS Act). Lead the legal aspects of SEC disclosures in registration statements, prospectuses, and periodic filings such as 10-Ks, 10-Qs, 8-Ks, and proxy statements; review the accuracy and completeness of the company’s financial statements. Review the terms of offerings and assist in closings. Monitor SEC and stock exchange rules and corporate governance developments. Advise on securities law issues related to mergers, acquisitions, tender offers, and other corporate restructurings. Support maintenance of trading windows, the creation and termination of 10b5-1 plans, and the filing of all Section 16 forms for Section 16 officers. Lead Section 16 compliance tracking reporting for Board and NEOs. Develop and ensure compliance with insider trading policies and related training for employees. Review and provide strategic advice on policies of proxy advisory firms, institutional investors, and other rating agencies. Provide counsel and training to employees on insider trading, market manipulation, and other securities law violations. Support the Chief Legal Officer in preparation for and organization of Board Meetings, including Audit, Compensation and Nominating and Governance Committee meetings, with all supporting materials, minutes, and resolutions. Draft board resolutions and maintain signature records. Assist with subsidiary management and compliance matters. Manage the annual D&O questionnaire process and documentation with Board and NEOs. Conduct legal research, due diligence, and risk assessments related to securities transactions, investments, and other corporate activities. Collaborate with internal clients across Canada and the US, including senior executives. Review press releases and other communications to ensure compliance with securities regulations. Requirements
Juris Doctorate (JD) degree and membership in good standing of a State Bar. Minimum of 8-12+ years’ experience in securities and/or corporate law (particularly SEC compliance), board and corporate governance, capital markets or regulatory enforcement, with a proven record of professional excellence. In-depth knowledge of securities laws, regulations, and legal precedents. Strong research, writing, and analytical abilities; ability to work with complex legal and financial documents. Experience working in a collaborative, team-oriented environment with an eagerness to learn the insurance brokerage industry. Experience or strong interest in the insurance brokerage industry, financial services, or related regulated fields is a plus. Proficiency in Microsoft Word and Teams; PowerPoint, Excel, and SharePoint are preferred. Demonstrated ability to provide substantive/technical legal advice and support to clients. Strong project management skills with the ability to manage multiple projects concurrently to completion. Detail-oriented with excellent organizational skills; ability to summarize key points succinctly and adapt to change. Intellectual curiosity and high integrity. Join Our Team
Do you believe in the power of innovation, collaboration, and transformation? Do you thrive in a supportive, client-focused work environment? When you join
HUB International , you will be part of a community of learners and doers focused on our Core Values: entrepreneurship, teamwork, integrity, accountability, and service. Disclosure required under applicable law in California, Colorado, Illinois, Maryland, Minnesota, New York, New Jersey, and Washington states: The expected salary range for this position is $190,000 to $250,000 and will be impacted by factors such as the successful candidate’s skills, experience, location, and the specific business line, scope, and level. If you believe your qualifications surpass the minimum requirements, we encourage you to submit your application. This will allow us to keep your application on file for potential future positions. HUB International offers comprehensive benefits and total compensation packages, which may include health/dental/vision/life/disability insurance, FSA, HSA, 401(k), paid time off (vacation, sick, personal days), and potential bonuses, equity, and commissions for some positions.
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At
HUB International , we are a team of entrepreneurs. We believe in protecting and supporting the aspirations of individuals, families, and businesses. We help our clients evaluate their risks and develop solutions tailored to their needs. We believe in empowering our employees to learn, grow, and make a difference. Our structure enables our teams to maintain their own unique, regional culture while leveraging support and resources from our corporate centers of excellence. HUB is one of the largest global insurance and employee benefits brokers, providing a broad range of business insurance, employee benefits, risk services, personal insurance, retirement, and private wealth management products and services. With over $5 billion in revenue and almost 20,000 employees in 600 offices throughout North America, HUB has grown substantially, in part due to our industry leading success in mergers and acquisitions. ABOUT THE ROLE Join our growing team. HUB is looking for an
Associate General Counsel, Securities and Deputy Corporate Secretary , who will play an important role in the preparation for future securities offerings and advise on a wide range of other securities-related matters, including regulatory compliance, SEC and SOX compliance, corporate and board governance, required disclosures, insider trading, and investor relations. The role includes providing advice to the Board, Chief Legal Officer, Executive Management, and employees, and coordinating with the Chief Accounting Officer, Chief Financial Officer, and Investor Relations on SEC and other filings. Occasionally, this attorney may provide other legal support to the business. Responsibilities
Advise the company on federal and state securities laws, including the Securities Act of 1933, the Securities Exchange Act of 1934, and other relevant regulations (such as Sarbanes-Oxley, Dodd-Frank, Regulation FD and the JOBS Act). Lead the legal aspects of SEC disclosures in registration statements, prospectuses, and periodic filings such as 10-Ks, 10-Qs, 8-Ks, and proxy statements; review the accuracy and completeness of the company’s financial statements. Review the terms of offerings and assist in closings. Monitor SEC and stock exchange rules and corporate governance developments. Advise on securities law issues related to mergers, acquisitions, tender offers, and other corporate restructurings. Support maintenance of trading windows, the creation and termination of 10b5-1 plans, and the filing of all Section 16 forms for Section 16 officers. Lead Section 16 compliance tracking reporting for Board and NEOs. Develop and ensure compliance with insider trading policies and related training for employees. Review and provide strategic advice on policies of proxy advisory firms, institutional investors, and other rating agencies. Provide counsel and training to employees on insider trading, market manipulation, and other securities law violations. Support the Chief Legal Officer in preparation for and organization of Board Meetings, including Audit, Compensation and Nominating and Governance Committee meetings, with all supporting materials, minutes, and resolutions. Draft board resolutions and maintain signature records. Assist with subsidiary management and compliance matters. Manage the annual D&O questionnaire process and documentation with Board and NEOs. Conduct legal research, due diligence, and risk assessments related to securities transactions, investments, and other corporate activities. Collaborate with internal clients across Canada and the US, including senior executives. Review press releases and other communications to ensure compliance with securities regulations. Requirements
Juris Doctorate (JD) degree and membership in good standing of a State Bar. Minimum of 8-12+ years’ experience in securities and/or corporate law (particularly SEC compliance), board and corporate governance, capital markets or regulatory enforcement, with a proven record of professional excellence. In-depth knowledge of securities laws, regulations, and legal precedents. Strong research, writing, and analytical abilities; ability to work with complex legal and financial documents. Experience working in a collaborative, team-oriented environment with an eagerness to learn the insurance brokerage industry. Experience or strong interest in the insurance brokerage industry, financial services, or related regulated fields is a plus. Proficiency in Microsoft Word and Teams; PowerPoint, Excel, and SharePoint are preferred. Demonstrated ability to provide substantive/technical legal advice and support to clients. Strong project management skills with the ability to manage multiple projects concurrently to completion. Detail-oriented with excellent organizational skills; ability to summarize key points succinctly and adapt to change. Intellectual curiosity and high integrity. Join Our Team
Do you believe in the power of innovation, collaboration, and transformation? Do you thrive in a supportive, client-focused work environment? When you join
HUB International , you will be part of a community of learners and doers focused on our Core Values: entrepreneurship, teamwork, integrity, accountability, and service. Disclosure required under applicable law in California, Colorado, Illinois, Maryland, Minnesota, New York, New Jersey, and Washington states: The expected salary range for this position is $190,000 to $250,000 and will be impacted by factors such as the successful candidate’s skills, experience, location, and the specific business line, scope, and level. If you believe your qualifications surpass the minimum requirements, we encourage you to submit your application. This will allow us to keep your application on file for potential future positions. HUB International offers comprehensive benefits and total compensation packages, which may include health/dental/vision/life/disability insurance, FSA, HSA, 401(k), paid time off (vacation, sick, personal days), and potential bonuses, equity, and commissions for some positions.
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