Director Assistant General Counsel - Securities And Finance

Profile

Director, Assistant General Counsel - Securities And Finance
The candidate will be responsible for: Draft and review of a broad range of Securities Exchange Act of 1934 filings, including Forms 10-K, 10-Q, and 8-K. Lead the drafting and filing processes associated with the annual Proxy Statement. Provide legal support and advice to Capital One’s Investor Relations and SEC Reporting groups on public disclosure and other legal matters. Advise on a broad range of executive compensation and equity administration matters, including Section 16 filings and insider trading policies. Provide legal support in connection with the governance activities of the Board of Directors and its committees, management committees, and legal entities. Identify, analyze and report on legal and market practice developments impacting Capital One’s disclosure, governance, and executive compensation practices, including changes in laws, regulations and policies. Partner with other subject matter experts throughout Capital One with respect to the annual stockholders meeting, Proxy Statement, securities law filings, transactions, and regulatory matters. Manage and coordinate with outside counsel, when necessary. Must be a seasoned legal professional with proven ability to operate effectively in a complex, highly regulated, and evolving environment. Should have strong organizational skills with impeccable attention to detail and possess excellent analytical, oral and written communication skills. Experience advising senior executives and other leaders on complex legal issues required. Must have experience rapidly synthesizing new information and making timely decisions based on that information. Should have Juris Doctor from an accredited law school. Active member in good standing of at least one state bar. Must have 5+ years of law firm or in-house counsel experience with a public company engaged in a securities law practice. Should preferably have 8+ years of law firm or in-house counsel experience with a financial institution engaged in a securities, corporate governance, and executive compensation practice.

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