Senior Legal Specialist - Corporate Advisory Securities & Transactions

  • Company: Capital One
  • Location: Vienna, Virginia
  • Posted: January 15, 2017
  • Reference ID: R17345
Towers Crescent 2 (12067), United States of America, Vienna, Virginia

Senior Legal Specialist - Corporate Advisory Securities & Transactions

The Role

CAST (Corporate Advisory, Securities and Transactions) is a team within Capital One’s Legal Department that is comprised of a dynamic group of legal professionals who support Capital One’s SEC reporting and public disclosure, including ’34 Act filings, financial reporting and Investor Relations, as well as executive compensation, the annual stockholder meeting and proxy statement. CAST also supports Capital One’s transactions and capital markets activities. Attorneys and other legal professionals within CAST advise our diversified businesses on a broad range of business matters in a constantly changing and stimulating environment. The Director, Assistant General Counsel will be responsible for advice and counsel on all public disclosure and executive compensation matters.

In addition, through its bold initiatives, state of the art infrastructure, breadth of talent, and dynamic work environment, the Legal Department of Capital One has become one of the most highly admired corporate legal departments in the country.


The Senior Legal Specialist will be responsible for the following:

·Assisting with compliance programs for Section 16 filings, trading plans, director and officer questionnaires, insider trading and other matters related to equity administration.

·Assisting with the development and filing of the annual proxy statement and ensuring compliance with controls and procedures applicable to the proxy and related disclosures.

·Managing the organization and planning of the annual meeting of stockholders.

·Overseeing third-party management requirements relating to vendors engaged by CAST.

·Supporting enhancement and implementation of effective processes to ensure compliance with policies and procedures relating to CAST activities.

The Person

Specific candidate competencies include, but are not limited to:

·Paralegal experience with an in-house legal department or law firm, with preference to a background in securities and/or corporate governance, designing, implementing and supporting processes and controls to ensure compliance with applicable policies, procedures and legal requirements relating to public disclosures, equity compensation and/or transactions.

·Familiarity with Securities and Exchange Commission filings including Section 16 filings and Securities Exchange Act filings.

·Strong organizational skills with impeccable attention to detail.

·Ability and willingness to work as a team player, with comfort interacting with associates across departments and job levels.

·Ability to work in a fast-paced environment with minimal supervision.

·Significant experience in managing complex processes and projects.

·Strong problem solving and decision making skills.

·Excellent analytical, oral and written communication skills.

·Ability to work cooperatively with internal constituents to manage efficient processes and to get issues resolved across organizational boundaries.

·The ability to manage multiple projects, take on new responsibilities and handle novel issues is critical.

Basic Qualifications:

·Bachelor's Degree OR Paralegal Certificate

·At least 2 years of paralegal experience with an in-house legal department or law firm.

·Proficiency in Microsoft Word, Excel, PowerPoint and Outlook.

Preferred Qualifications:

·At least 4-6 years of paralegal experience with an in-house legal department or law firm with focus on securities.

·Ability to build collegial and effective relationships with business leaders, attorneys, paralegals, and project managers at all levels of the company.

·Ability to prioritize and manage a significant volume of work on a broad array of topics with multiple and simultaneous deadlines.

·Strong communication skills with the ability to influence others.

At this time, Capital One will not sponsor a new applicant for employment authorization for this position

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