Corporate Counsel

Position: Corporate Counsel

Company Description

B. Riley Securities provides a full suite of investment banking, corporate finance, advisory, research, and sales and trading services. Investment banking services include initial, secondary and follow-on offerings, institutional private placements, merger and acquisition (M&A) advisory, SPACs, corporate restructuring and recapitalization. B. Riley is nationally recognized and highly ranked for its proprietary small-cap equity research. 

Position Overview

The anticipated starting salary range for this position is $140,000-$150,000. Placement within this range is dependent upon level of experience. This position is eligible for quarterly bonus compensation.

Position Responsibilities:

• Work directly with General Counsel.
• Provide legal support for numerous investment bankers including legal analysis and advice with respect to compliance with applicable rules, regulations and legal risks relating to the investment banking industry.
• Monitor and advise on new and evolving rules and regulations.
• Provide advice and counsel on a range of corporate and securities law matters, including governance and organizational documents, securities law filings, and transactional and regulatory matters.
• Draft, review, and negotiate contracts, including Investment Banking engagement letters, confidentiality agreements, and employment/consulting contracts.
• Lead and complete "Compliance Projects" assigned by the Chief Compliance Officer, adapting to the firm's evolving needs and ongoing risk assessments.
• Assist with maintaining and updating the Compliance Department’s written standard operating procedures.
• Perform other duties as assigned.

General Qualifications:

• J.D. degree from a nationally recognized law school with strong academic credentials.
• State bar license required.
• Minimum of 5 years of experience with general corporate and securities law either in a law firm or in-house counsel setting with top-tier training.
• FINRA SIE and Series 7 licenses, or willingness to obtain them promptly.
• Proven ability to professionally manage time, prioritize multiple responsibilities, and process a high volume of work in a timely and accurate manner with a high attention to detail.
• Self-starter who thrives independently and in team settings within a high-energy, fast-paced culture.
• Strong client service background.
• Able to make practical, creative and decisive recommendations on outstanding issues.
• Capacity and willingness to take on multiple responsibilities.
• Strong business judgment and strategic thinking.
• Excellent verbal and written communication skills are required.
• A good sense of humor to navigate challenges with positivity.

B. Riley Securities, Inc. employees enjoy competitive salaries, access to our 401(k) profit sharing retirement plan and our other benefits including paid holidays, vacation, and sick leave, voluntary group medical, dental, and vision insurance, and company paid life and disability coverage. 

Inclusion and Equal Opportunity Employment: B Riley Securities is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veterans status, Aboriginal/Native American status or any other legally-protected factors.