SVP, General Counsel and Corporate Secretary

DRI, The Voice of the Defense Bar; New York (NY); On-site; USD 220,000 - 250,000; Full time

Job summary

An established industry player is seeking a Senior Vice President, General Counsel, and Corporate Secretary to provide comprehensive legal guidance to its Board and senior management. This role involves advising on public company matters, regulatory compliance, and overseeing corporate governance functions. The ideal candidate will have extensive experience in financial services law, strong negotiation skills, and the ability to manage multiple legal tasks efficiently. Join a community-focused bank that is dedicated to serving underserved populations while ensuring compliance and legal integrity across all operations. This is a unique opportunity to make a significant impact in a growing financial institution.

Qualifications

• 10+ years of experience in financial services with expertise in legal matters.
• Strong knowledge of SEC regulatory filings and corporate governance.

Responsibilities

• Provide legal guidance to the Board and senior management on various issues.
• Oversee legal disputes and manage external counsel for litigation.

Skills

Legal Guidance

Regulatory Compliance

Negotiation Skills

Conflict Resolution

Corporate Governance

Financial Services Law

Education

JD

New York State Bar

Tools

SEC Filing Systems

Compliance Management Systems

Job description

SVP, General Counsel, and Corporate Secretary

Department: Legal Department
Reports to: President and Chief Executive Officer
Work Location: Onsite four days a week - Harlem, New York. Fridays remote
Salary: $220,000 - $250,000 based on experience
Posted salary ranges do not include incentive compensation or any other type of remuneration.

Company Overview:
Carver Bancorp, Inc. (NASDAQ: CARV) the holding company for Carver Federal Savings Bank, is a federally chartered institution with approximately $610 million in assets and 110 employees. The Bank was chartered in 1948 to address the banking needs of middle income and underserved communities in New York City. Carver operates 7 full-service branches in the New York City boroughs of Brooklyn, Queens and Manhattan. The Bank provides commercial real estate and small business loans and a range of complementary bank products and services.
We are a growing community bank committed to delivering top-tier financial services to our clients.

Position Summary:
Provides legal guidance to the Board of Directors and senior management of Carver Bancorp, Inc., and Carver Federal Savings Bank (collectively “Carver”) on a wide range of issues including public company matters, securities offerings and private placements, regulatory compliance, lending transactions, commercial contracts, banking operations, and real estate and leasing matters. In addition, serves as the Corporate Secretary of Carver and manages all corporate governance functions and duties, including the Annual Shareholders’ Meeting and interaction with shareholders and external stakeholders of the company and the bank.

Essential Duties and Responsibilities

Legal Advice and Strategy:

• Advise and support the Board of Directors and senior management on critical strategic business decisions and legal matters.
• Analyze legal risks associated with new business initiatives and develop mitigation strategies.
• Allocate legal resources effectively across different business units as required to support bank activities and operations.
• Support the company’s Investor Relations Program.

Regulatory Compliance:

• Monitor and analyze applicable federal and state banking laws and regulations.
• Partner with the Compliance Department to coordinate with federal regulators on regulatory examinations and related compliance matters.
• Monitor and provide reports and documentation related to enforcement orders and federal agency filing requirements.
• Collaborate with departments to ensure legal compliance in all operations.

External Counsel and Litigation Management:

• Oversee all legal disputes, including contract disputes, consumer litigation, and employment actions.
• Supervise and coordinate with external counsel to manage litigation and minimize legal exposure.
• Coordinate with external counsel to manage and provide legal advice for public company and regulatory matters, banking law and operations matters, and lending and transactional matters.
• Coordinate with the Lending and Credit Departments to provide closing counsel services and appropriate legal advice and guidance.

Contract Review and Negotiation:

• Review and negotiate all significant contracts related to commercial activities, lending, leasing, deposit accounts, and other banking products.
• Coordinate with Facilities Management to monitor branch leases and negotiate new leases or renewals.
• Ensure all contracts and leases comply with legal requirements and protect the bank's interests.
• Coordinate with the IT Department on vendor management requirements and documentation.

Corporate Governance:

• Advise the Board of Directors on legal matters related to corporate governance practices, and schedule, plan and manage all Board and committee meetings.
• Prepare and review corporate documents, including bylaws, minutes, and resolutions.
• Supervise the drafting of the Company’s Proxy Statement and the administration of the Annual Shareholders’ Meeting.
• Support the Company’s Form 10-Q and 10-K financial reporting processes and manage other required SEC and Nasdaq regulatory filings.
• Coordinate with external counsel to manage the Company’s Form 8-K reporting and filing process with the SEC.
• Partner with the Finance and Accounting Department to coordinate and manage activities with the Company’s transfer agent.
• Partner with the HR Department to manage activities with the Company’s stock award administrator.

Background and Experience:

• JD and New York State Bar.
• 10+ years of related experience in the financial services area (transactional expertise preferred).
• Excellent knowledge of financial services/banking law and regulatory issues, including SEC and FRB regulatory filings (Forms 8-K, 10-Q, 10-K, and FR Y-6).
• Strong knowledge of public company legal matters and corporate governance, including drafting of annual proxy statements and company reports, and management of the Annual Shareholders’ Meeting.
• Strong negotiation and conflict resolution skills.
• Ability to handle multiple tasks and assignments and meet deadlines.

EEO Statement: Carver Bank provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or any other protected class.