Vice President, SEC Compliance
Company: Coherus BioSciences
Location: Redwood City
Posted on: January 8, 2022
Title: Vice President, SEC Compliance
Reports To: Chief Legal OfficerLocation: Redwood City,
Classification: Exempt Overview: Reporting to the Chief Legal
Counsel, the Vice President, SEC Compliance is a senior level
position. This person will be responsible for addressing SEC
Compliance issues and interfacing with various parts of the
Company, (primarily Finance on such matters), and to oversee the
filing of the Company's SEC documents. The position must operate
independently within a dynamic environment to support the growing
corporate governance needs, and will work collaboratively with
various teams across the organization, including
Finance/Accounting, Investor Relations/Public Affairs, Human
Resources and others, as well as with external counsel. Principal
Responsibilities and Duties:
- Provide advice and counsel to senior management on all matters
relating to corporate and public company securities law matters and
disclosure issues, including the preparation of SEC periodic
filings (10-Ks, 10-Qs, and proxy statements), registration
statements, and Section 16 filings.
- Provide advice and develop, refine, and maintain policies and
procedures relating to SEC, Nasdaq, and other regulatory
requirements (including the Sarbanes-Oxley Act, Dodd-Frank Act, and
Nasdaq listing standards), and corporate governance matters.
- Review and or prepare SEC filings including 10-K, 10-Qs, Proxy
Statement, 8-Ks, Section 16 reporting (Forms 3, 4 and 5), and
- Maintain and manage company's corporate governance matters
relating to the company's Board of Directors and subsidiaries.
Includes drafting agendas, minutes and resolutions and reviewing
board mailing materials. Also, assists or primarily responsible for
corporate governance activities for specific subsidiaries.
- Lead or assist in strategic transactions, including M&A and
corporate finance transactions (e.g., stock or debt
- Assist on executive and director compensation matters,
including providing advice and counsel on matters relating to plan
documentation and related securities matters (including preparation
of registration statements on Forms S-3 and S-8).
- Responsible for handling open window trading preclearance
process and stock ownership and retention requirement
- Assist in corporate secretarial functions, including
preparation of Board and committee materials.
- Assist with investor relations and corporate communications
- Assist with the creation and administration of internal
compliance and ethics training.
- Draft and negotiate agreements in connection with capital
markets offerings and work with Finance teams in managing debt and
- Work with Finance, Accounting, Investor Relations, and
Communications teams on external disclosures, such as earnings
releases and press releases.
- Administer Insider Trading Policy and 10b5-1 plans.
- Provide corporate governance advice and support, including
preparation of Board and Committee meeting materials and drafting
of policies and procedures.
- Assist with the preparation of the company's proxy statement
and coordinate matters related to the company's annual meeting of
- Develop, implement and maintain investor/proxy advisory policy
- Coordinate with and efficiently manage external SEC counsel.
- Minimum of 20 years of experience post law school, with 10+
years of relevant securities experience.
- Experience working in the pharmaceutical/biotechnology industry
- JD from an accredited U.S. law school and an active member in
good standing of a U.S. state bar (either the California bar or
eligible to register in California as in-house counsel).
- Management experience in building, running, and/or developing
high-performing legal teams.
- Experience advising C-suite, Board of Directors, and
executive-level leaders on corporate securities, strategy, finance,
- International corporate subsidiary management experience
- Skilled, effective, and empathetic manager who will cultivate
professional growth and achievement among team members
- Effective verbal and written communication skills in all
interactions with senior management, corporate departments, and all
levels of employees.
- Proven track record of effectively working cross-functionally
with partners at all levels.
- Ability to wear different hats, keep multiple projects going
and "keep all the balls in the air".
- Excellent communication and interpersonal skills are critical
for this role.
- Demonstrate comprehensive knowledge of the Securities Act of
1933, the Securities Exchange Act of 1934 and the rules and
regulations of the SEC under those acts, and of the requirements of
NASDAQ, as well as Sarbanes Oxley.
- Must demonstrate financial literacy and comprehension and
articulation of corporate finance disclosure issues. Must have an
understanding of the Delaware Corporation Law and be proficient in
the principles and practice of major aspects of corporate law.
- Significant client focus and collaboration with other functions
and the business.
- Excellent business judgment and ability to assess legal risk
while also thinking strategically and providing practical
- Strong work ethic and ability to multi-task, prioritize and
follow through on numerous projects simultaneously.
- Must be a team player who is willing to pitch in where needed
in a fast-paced, growing company
- High ethical standards and ability to maintain the
confidentiality of non-public corporate information
- Ability to develop creative technical and/or business solutions
for complex problems and implement organizational or team
objectives. If you had selected 'Other', please provide more
If you had selected 'Referral', please provide more details
Keywords: Coherus BioSciences, Redwood City , Vice President, SEC Compliance, Executive , Redwood City, California
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