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Assistant General Counsel - Securities & Corporate Governance

Houston, TX
Full Time
Job #: R51132 Exp.: 8+ Years
At Regions, the Assistant General Counsel provides a wide range of legal services and advice. This position has extensive knowledge in a specific area of expertise that may include Securities and Corporate Governance, Capital Markets, Commercial and Corporate Banking, Consumer Investment, Private Client, Litigation, and other highly specialized areas.

Primary Responsibilities:
  • Advises members within a specialized legal area or particular business activity
  • Works with the Chief Governance Officer’s team to advise Regions’ leaders and business units on public company securities and corporate governance matters
  • Protects the organization’s rights in contract negotiations, settlements, and litigation
  • Ensures compliance of laws and regulations
  • Advises management on recent changes in laws and regulations that affect the company
  • May direct activities of one or more General Attorneys

This position is exempt from timekeeping requirements under the Fair Labor Standards Act and is not eligible for overtime pay.

This position is incentive eligible.

  • Doctor of Jurisprudence degree
  • Eight (8) years or more of relevant experience in specialized area in law firm and/or in-house environment(s)

Skills and Competencies:
  • Ability to apply legal theories
  • Ability to assimilate and analyze facts
  • Ability to distinguish relevant facts
  • Demonstrated leadership and effective interpersonal skills
  • Demonstrated skill to judge character
  • Demonstrated skill to resolve complex legal issues
  • Familiarity with ESG principles and reporting frameworks
  • Knowledge of corporate and securities law (public company-focused), stock exchange listing standards and banking regulations
  • Well-developed written and oral (in person and by telephone/virtually) communication skills

Additional Job Description:
Additional Responsibilities:
  • Drafts, reviews, and advises on periodic reports and other filings under the Securities Exchange Act of 1934
  • Coordinates proxy statement and annual shareholder meeting process
  • Assists with setting of agendas and prepares materials for meetings of the Board of Directors and its committees
  • Monitors compliance with SEC rules and NYSE listing standards
  • Monitors changing corporate governance landscape, including focus areas of institutional investors and proxy advisory firms
  • Plans and participates in regular shareholder engagements
  • Supports the company’s Environmental, Social and Governance (ESG) program
  • Assists with capital markets transactions and related filings under the Securities Act of 1933
  • Coordinates insider ownership and related party transaction reporting
  • Prepares certain bank regulatory filings

This position may be filled at a higher level depending on the candidate’s qualifications and relevant experience.

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