Senior Counsel - Securities

Transamerica; Philadelphia (Philadelphia County); Hybrid; USD 150,000 - 200,000; Full time

Benefits offered by this job

Pension Plan

401k Match

Employee Stock Purchase Plan

Tuition Reimbursement

Medical Insurance

Job summary

Transamerica, a leading financial services company, is seeking a Senior Counsel – Securities to join our Corporate Legal Services team in a hybrid office setting (Philadelphia hub). The attorney will manage SEC reporting, compliance, and capital markets work, drafting disclosures and coordinating with internal clients and external counsel.

The ideal candidate has a JD from an ABA-accredited school, at least five years of securities experience, and a proven ability to navigate fast-paced

Qualifications

• JD from ABA-accredited law school.
• Five years of securities law and SEC reporting experience.
• Active bar license or eligibility.
• Ability to communicate effectively.
• Fast-paced, collaborative environment.

Responsibilities

• Assist with SEC filings such as 10-K, 10-Q, 8-K, and proxy statements.
• Support earnings and investor communications materials.
• Monitor securities laws and NYSE requirements.
• Oversee Section 16 and insider trading compliance.
• Lead or participate in cross-functional groups.
• Manage external law firms to deadlines and budgets.
• Provide independent legal judgment with limited supervision.
• Support capital markets transactions.
• Mentor staff as needed.

Skills

Written & verbal communication

Judgment under pressure

Adaptability

Attention to detail

MS Office proficiency

Education

JD from ABA-accredited law school

Job description

Job Family

Legal Counsel

About Us

At Transamerica, hard work, innovative thinking, and personal accountability are qualities we honor and reward. We understand the potential of leveraging the talents of a diverse workforce. We embrace an environment where employees enjoy a balance between their careers, families, communities, and personal interests.

Ultimately, we appreciate the uniqueness of a company where talented professionals work collaboratively in a positive environment — one focused on helping people look forward and plan for the best life possible while providing tools and solutions that make it easier to get there.

Who We Are

We believe everyone deserves to live their best life. More than a century ago, we were among the first financial services companies in America to serve everyday people from all walks of life.

Today, we’re part of an international holding company, with millions of customers and thousands of employees worldwide. Our insurance, retirement, and investment solutions help people make the most of what’s important to them.

What We Do

Transamerica is organized into three distinct businesses. These include 1) World Financial Group, including Transamerica Financial Advisors, 2) Protection Solutions and Savings & Investments, comprised of life insurance, annuities, employee benefits, retirement plans, and Transamerica Investment Solutions, and 3) Financial Assets, which includes legacy blocks of long term care, universal life, and variable and fixed annuities. These are supported by Transamerica Corporate, which includes Finance, People and Places, General Counsel, Risk, Internal Audit, Strategy and Development, and Corporate Affairs, which covers Communications, Brand, and Government and Policy Affairs.

Transamerica employs nearly 7,000 people. It’s part of Aegon, an integrated, diversified, international financial services group serving approximately 23.9 million customers worldwide. For more information, visit transamerica.com.

Job Description Summary

We have an exciting opportunity for a Senior Counsel – Securities to join our Corporate Legal Services team. In this role, you will serve as a key legal partner supporting the company’s public company reporting, securities compliance, and capital markets activities. The successful candidate will help draft, coordinate, and file SEC disclosures while providing guidance on SEC and NYSE requirements.
Working closely with internal stakeholders, the Senior Counsel will gather and synthesize information for regulatory filings, support securities-related matters, and help ensure compliance with public company reporting obligations. This role is ideal for an attorney with significant experience in SEC reporting, securities law, and capital markets who thrives in a collaborative, fast-paced environment.

Responsibilities

• Support preparation, review and filing of SEC filings, including 10-K, 10-Q, proxy statement, 8-K, S-3, S-8, and other filings as needed, to ensure compliance with federal securities laws and NYSE listing requirements.
• Assist with review of earnings and investor communications materials, including earnings announcements, earnings scripts, press releases, investor presentations, internal communications, and similar.
• Monitor developments in securities laws, NYSE listing requirements, SEC regulations and guidance, proxy advisory guidance, and public company governance best practices.
• Support Section 16 and insider trading compliance, including review and coordination of Section 16 reports, administration of insider trading compliance processes, such as trading windows, blackout periods, and pre-clearance, and 10b5-1 plan review and administration.
• Contribute to process development and refinement supporting recurring disclosure and reporting workflows, such as templates, checklists, and calendars.
• Support special projects as needed, such as debt financings, share repurchases, and other capital markets transactions.
• Direct and manage external law firms to ensure deadlines are met and completed within budget.
• Work on complex legal issues where analysis requires identification and evaluation of multiple factors.
• Manage legal matters provided to a number of in-house constituents within practice area(s).
• Exercise independent judgment regarding legal advice with limited supervision of more senior attorney.
• Participate in and may lead departmental and cross-functional working groups in identified areas of legal expertise or development.
• May manage support staff.

Qualifications

• JD from an ABA accredited law school
• Five years of relevant legal experience (advising clients in securities law ('33 and '34 Act) and SEC reporting and compliance matters).
• Licensed or eligible to practice in the applicable state
• Ability to effectively communicate, both written and oral, with the intended audience
• Ability to exercise sound judgment in a fast paced environment
• Ability to exercise agility and adaptability in providing legal advice
• Comfortable in a rapidly changing corporate environment
• Proficient using MS Office

Preferred Qualifications

• Significant experience drafting, reviewing, and coordinating SEC filings, including Forms 10-K, 10-Q, 8-K, proxy statements, and earnings releases.
• Strong knowledge of SEC regulations, securities laws, and NYSE listing standards.
• Experience supporting public company reporting and compliance through a law firm, regulatory agency (such as the SEC), or in-house legal department of a publicly traded company.
• Experience advising on capital markets transactions, including debt and equity offerings.
• Demonstrated ability to partner with business stakeholders, manage disclosure processes, and meet regulatory filing deadlines.
• Proven ability to work independently in a lean, evolving environment and help build processes for a growing SEC reporting function.

Working Conditions

• Hybrid Office Environment

Compensation

• The Salary for this position generally ranges between$150,000- $200,000 annually.Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.
• Additionally, this position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion.

Applicants must possess legal authorization to work for our company in the U.S. without the need for immigration, sponsorship or otherwise serving as an employer of record for immigration employment purposes. At this time, this role is not eligible for immigration-related employment authorization sponsorship.

This is a hybrid position requiring three days in office per week in one of our hub locations (Philadelphia, New York, Baltimore). Relocation assistance will not be provided for this position.

What We Offer

For eligible employees, we offer a comprehensive benefits package designed to support both the personal and financial well-being of our employees.

Compensation Benefits

• Competitive Pay
• Bonus for Eligible Employees

Benefits Package

• Pension Plan
• 401k Match
• Employee Stock Purchase Plan
• Tuition Reimbursement
• Disability Insurance
• Medical Insurance
• Dental Insurance
• Vision Insurance
• Employee Discounts
• Career Training & Development Opportunities

Health and Work/Life Balance Benefits

• Paid Time Off starting at 160 hours annually for employees in their first year of service.
• Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays).
• Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars
• Parental Leave – fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of service at the time of birth, placement of an adopted child, or placement of a foster care child.
• Adoption Assistance
• Employee Assistance Program
• Back-Up Care Program
• PTO for Volunteer Hours
• Employee Matching Gifts Program
• Employee Resource Groups
• Inclusion and Diversity Programs
• Employee Recognition Program
• Referral Bonus Programs

Inclusion & Diversity

We believe our commitment to diversity and inclusion creates a work environment filled with exceptional individuals. We’re thrilled to have been recognized for our efforts through the Human Rights Campaign Corporate Equality Index, Dave Thomas Adoption Friendly Advocate, and several Seramount lists, including the Inclusion Index, 100 Best Companies for Working Parents, Best Companies for Dads, and Top 75 Companies for Executive Women.

To foster a culture of inclusivity throughout our workforce, workplace, and marketplace, Transamerica offers a wide range of diversity and inclusion programs. This includes our company-sponsored, employee-driven Employee Resource Groups (ERGs), which are formed around a shared interest or a common characteristic of diversity. ERGs are open to all employees. They provide a supportive environment to help us better appreciate our similarities and differences and understand how they benefit us all.

Giving Back

We believe our responsibilities extend beyond our corporate walls. That's why we created the Aegon Transamerica Foundation in 1994. Through a mix of financial grants and the volunteer efforts of our employees, the foundation supports nonprofit organizations focused on the things that matter most to our people in the communities where we live and work.

Transamerica’s Parent Company

Aegon acquired the Transamerica business in 1999. Since its start in 1844, Aegon has grown into an international company serving more than 23.9 million people across the globe.* It offers investment, protection, and retirement solutions, always with a clear purpose: Helping people live their best lives. As a leading global investor and employer, the company seeks to have a positive impact by addressing critical environmental and societal issues, with a focus on climate change and inclusion and diversity.

* As of December 31, 2023