Corporate Secretary Resume Sample
Franco Lesch
7402 Lionel Route,
Dallas,
TX
+1 (555) 127 8210
Work Experience
Associate, Office of the Corporate Secretary
01/2016
-
PRESENT
Phoenix, AZ
- Attend the BRT meetings and other preparation sessions for governance developments, when needed and as appropriate
- Prepare the briefing documents for Management and Government Affairs Teams on developments in corporate governance and securities laws
- Formulate and prepare communications on reforms in the corporate governance and securities law space
- Advise on compliance with securities laws and regulations, including those of the U.S. Securities and Exchange Commission and New York Stock Exchange
- Advise on Section 16 compliance, including preparation of Form 4 for Executive Management and Board members
- Engage with shareholders, including negotiation, management and, as appropriate, seeking SEC No Action relief on shareholder proposals
- Support preparations for the Annual Shareholders’ Meeting, including providing advice on meeting materials
Corporate Secretary
04/2013
-
10/2015
Los Angeles, CA
- Oversee Board posting materials to ensure accuracy and completeness
- Prepare for, and participate in, the Corporation’s Annual Stockholders’ meeting
- Track and ensure compliance with governance internal functions
- Develop, maintain, and revise board, board committee, and management committee agendas consistent with corporate requirements in charters, corporate governance principles, or By-Laws, including by ensuring meetings with the Chief Executive Officer, General Counsel, and other appropriate senior officers is conducted in a timely manner
- Update and maintain of materials for the annual board and committee self-evaluations and Director Orientation materials
- Prepare director skill matrices
- Prepare and maintain written stockholder consents
- Coordinate and maintain information received from directors on an ongoing basis
Assistant Corporate Secretary
06/2010
-
01/2013
Philadelphia, PA
- Engage & build connections with various external groups and corporate governance peers at other public companies
- Treasury Counseling: equity administration matters, assist the Equity Compensation team on day-to-day issues involving waivers, option exercises and one-off situations
- Global Equity Awards, assisting with applicable global Securities Law Filings, ensuring compliance, emphasis on Japan where there are multiple filings required
- Execute affidavits and other legal documents on behalf of the Office of Corporate Secretary in response to legal or regulatory proceedings
- Oversee jnj.com website to timely update disclosure and policy changes for Office of Corporate Secretary, including Corporate Governance sections
- Manage vendor relationships in collaboration with Procurement
- Prepare and review the annual Director & Officer Questionnaire; assess and manage conflicts of interest and manage and draft the Director & Executive Officer Related Party Transactions & Independence memos in collaboration with Finance
Education
The University of Alabama
2004 - 2009
Bachelor's Degree in English
Professional Skills
- Excellent written and verbal communication skills in order to liaise clearly and effectively in an international working environment with all levels of staff
- Excellent written, organizational and project management skills
- Excellent administration, project management and document management skills
- Good IT skills and comfortable with learning new systems
- Communication Skills (both written and verbal)
- Prior experience dealing with external directors, preferably at a financial services firm (or other complex or regulated organization)
- Experience in a law firm with a strong background in corporate, capital markets, and securities laws
How to write Corporate Secretary Resume
Corporate Secretary role is responsible for security, finance, credit, securities, training, database, procurement, litigation, compensation, trading.
To write great resume for corporate secretary job, your resume must include:
- Your contact information
- Work experience
- Education
- Skill listing
Contact Information For Corporate Secretary Resume
The section contact information is important in your corporate secretary resume. The recruiter has to be able to contact you ASAP if they like to offer you the job. This is why you need to provide your:
- First and last name
- Telephone number
Work Experience in Your Corporate Secretary Resume
The section work experience is an essential part of your corporate secretary resume. It’s the one thing the recruiter really cares about and pays the most attention to.
This section, however, is not just a list of your previous corporate secretary responsibilities. It's meant to present you as a wholesome candidate by showcasing your relevant accomplishments and should be tailored specifically to the particular corporate secretary position you're applying to.
The work experience section should be the detailed summary of your latest 3 or 4 positions.
Representative Corporate Secretary resume experience can include:
- Excellent interpersonal and verbal communication skills; ability to articulate ideas clearly
- Strong analytical and organizational skills; accurate and detail-oriented
- Prior Office of Corporate Secretary experience
- Building relationships with internal and external stakeholders to facilitate good behavior
- Experience in corporate records systems i.e. Blueprint
- Assisting with documentation management, including scanning and uploading of documents to internal documentation systems
Education on a Corporate Secretary Resume
Make sure to make education a priority on your corporate secretary resume. If you’ve been working for a few years and have a few solid positions to show, put your education after your corporate secretary experience. For example, if you have a Ph.D in Neuroscience and a Master's in the same sphere, just list your Ph.D. Besides the doctorate, Master’s degrees go next, followed by Bachelor’s and finally, Associate’s degree.
Additional details to include:
- School you graduated from
- Major/ minor
- Year of graduation
- Location of school
These are the four additional pieces of information you should mention when listing your education on your resume.
Professional Skills in Corporate Secretary Resume
When listing skills on your corporate secretary resume, remember always to be honest about your level of ability. Include the Skills section after experience.
Present the most important skills in your resume, there's a list of typical corporate secretary skills:
- Excellent Microsoft Office skills (Excel, PowerPoint)
- Good relationship and stakeholder management experience
- Work effectively under tight timelines and pressure with little supervision
- Team-oriented personality with follow through and execution skills
- Prior in-house experience in a corporate secretarial or similar function at a NYSE listed company
- Experience of working International subsidiaries
List of Typical Experience For a Corporate Secretary Resume
1
Experience For Assistant Corporate Secretary Resume
- Conduct legal document research, retrieving information, and investigative skills and write historical data on various projects
- Substantial working knowledge of the corporate secretary function and proven experience with large public company issues
- Demonstrated in-house company secretary experience
- Tracking open action items
- Willing to roll up sleeves and get the job done, able to multi-task
- Banking: administration of the assigned bank accounts, follow up on invoices, take part in the payment process
- Collaborating with stakeholders to identify and assess disclosure requirements
- Responsible for identifying and notifying the board of various business matters pertaining to shareholder and joint venture governance issues
- Oversee all board meeting logistics including preparation and distribution of printed materials, meeting agendas, and notifications
2
Experience For Corporate Office of the Secretary Assistant Corporate Secretary Resume
- Tracks and manages the progression of complicated projects and documents including drafts, deadlines and status reporting
- Partner with legal counsel, ensuring that all legal and filing requirements are met
- Utilize desktop publishing applications where required
- Technical training: Access, Flexcube, ATI, Pathway. Offshore Standards and OPS’s processes and procedures
- Credit Control and dealing with corporate taxi-services, courier-services, mobile services ect
- Oversight of EMEA legal spend and monthly reporting
- Provision of business coverage and support, including commercial contracts, employment, intellectual property and transactional/deal support
- Support Office of Corporate Secretary for Southwest Gas Holdings including its subsidiaries ("Company")
- Diary management, room bookings and arranging teleconference facilities as required
3
Experience For Associate, Office of the Corporate Secretary Resume
- Responsible for maintaining board/committee functions as it relates to compliance with established charters or bylaws
- Compile, organize, index, and electronically archive all meeting minutes, support documents, and governance documents appropriately per governance standards
- Proactive; ability to work independently and to initiate/coordinate projects; ability to respond creatively and quickly in a fast-paced, changing environment
- Responsible for assisting with the development and distribution of advance materials
- Maintain running list of deliverables for follow-up
- Prepare onboarding materials for new Directors and Officers
- Communicate directly with Directors and Corporate Officers on matters, including board materials and compensation
4
Experience For Senior Corporate Secretary Resume
- Coordinate and prepare SEC filings, including proxy statements, 8-Ks, 10-Ks and 10-Qs, Section 16 and other public disclosures
- Proactively addressing potential securities and compliances issues to prevent or minimize legal risk to the company
- Manage and oversee administrative functions pertaining to director compensations
- Manage preparation of annual 1099’s for directors including retainers, any stock awards and other items that are determined to be taxable
- Thorough knowledge of governance processes, as well as understanding of corporate organization and health care, construction, and real estate records
- Able to work independently and thrive in a team environment (and a firm understanding of the broader picture)
- A thorough understanding of the Bank's business
5
Experience For Executive Assistant to the Office of the Corporate Secretary Resume
- The ability to lead and work within a multi-disciplinary setting to achieve consensus
- Through knowledge of governance processes, as well as understanding of corporate organization and health care, construction, and real estate records
- General understanding of risk and finance matters
- Performs research for filings and reports, including audit responses by attorneys
- Design, maintain and retain official corporate records and filing systems
- Assist with processes for the annual meeting of stockholders
6
Experience For Corporate Secretary Services Mgr Resume
- Attend board meetings and organize minute taking
- Ensure that the organization complies with relevant legislation and regulations by maintaining regular communication with regulatory bodies as required
- Coordinate and assist with filing SEC / EDGAR and NYSE filings
- Update and maintain electronic corporate files, databases, email and directories
- Registered Member of Institute of Company Secretaries in India
- Assists with scheduling and planning Southern board of directors and board committee meetings; assists with preparation and distribution of agendas and coordination of compilation of meeting informational packets
- Assists with scheduling and planning for meetings of the boards of directors for Southern system companies; assists with preparation and distribution of agendas and coordination of compilation of meeting informational packets
- Assists with drafting of Southern and Southern system companies’ board resolutions, reports and minutes
- Drafts Southern and Southern system companies’ board resolutions, reports, minutes and other documentation related to corporate governance; assists with drafting of corporate governance policies for presentation to the Southern board of directors for approval
7
Experience For Corporate Secretary Associate Corporate Secretary s Office Resume
- Maintains Southern and certain Southern system companies’ Board and committee minutes and records
- Administers Southern’s non-employee Director compensation and provides support for the same for Southern system companies’ corporate secretaries
- Produce the initial drafts of board and committee minutes
- Prepare and disseminate materials for RBF trustees and staff
- Act as a liaison between trustees, staff, and officers. Address informational inquiries and refer issues to corporate secretary, or others, as appropriate. Make necessary reservations and arrangements for trustees as requested, e.g., hotel, air travel, etc
- Partner with corporate secretary to coordinate enterprise risk management work at the Fund, including taking on special projects as needed in different areas
8
Experience For IFS Corporate Secretary Resume
- Organize logistics and technical support needed for board meetings and other committee meetings and outside board meetings
- Prepare various reports, as requested. Proof on an as-needed basis; e.g., board resolutions, reports, etc
- Maintain and disseminate updates via the RBF Trustee Portal and RBF Trustee Handbook
- Prepare standardized, customized and confidential correspondence, memoranda and/or documents for the review and signature of the corporate secretary
- Review statutes and affidavits of prospective foreign grantees and prepare first draft of nonprofit equivalency cover sheets
- Track and maintain trustee engagement activities, and conflict of interest material
9
Experience For Asst Corporate Secretary Resume
- Maintain regular internal and external contacts and manage inflow and outflow of routine information for corporate secretary
- Assist in conducting appropriate pre-meeting briefings/reviews with parent and subsidiary Board/Committee meeting presenters regarding meeting materials and conduct
- Serve as a liaison for CEO, senior managers and board members
- Ensure compliance with laws and regulations applicable to corporate governance and governance best practices
- Board of Directors and senior management and their executive assistants
- Corporate Secretary and CFO Legal leadership team members
- Corporate Governance, Board Support and Shareholder Engagement Team
- Global Technology & Operations
- Ensure knowledge of personnel whereabouts and maintaining exact and complete sign-in/sign-out procedures for visitors and on-site staff - maintain security by following procedures; monitoring logbook; issuing visitor badges; H&S induction
10
Experience For Analyst / Associate, Corporate Secretary Resume
- Business-travel support (visas application, trip organization, hotel booking support) if needed
- Providing project related support, research and analysis of corporate subsidiary and governance matters and handling issues and requests for information as directed by the Corporate Secretary and Deputy General Counsel
- Strong written, verbal and interpersonal communication skills and an ability to interact comfortably with independent directors, senior managers and other levels of personnel
- Knowledge of the Securities Exchange Act of 1934, Securities Act of 1933 and NYSE reporting and governance requirements
- Statutory & Regulatory Compliance: maintain the required statutory registers and timely filing of returns at Trade & Companies Register, help prepare & produce annual reports and accounts for group legal entities, ensuring timely approval and filing
- Ensure that statutory and other information contained on the Secretariat database is accurate and up to date
- Support Transaction team with acquisition & disposal of assets: incorporation of new companies and liquidation of old companies, organizing execution of closing documents, liaising with third parties and fund teams to ensure on time and proper completion
List of Typical Skills For a Corporate Secretary Resume
1
Skills For Assistant Corporate Secretary Resume
- Reviewing Board materials prior to distribution for accuracy and adherence to document retention standards
- Good knowledge of the requirements relating to the administration of funds or companies is essential
- Experience practicing law within a top-tier law firm and/or in-house legal department of a multi-national corporation is required
- Substantive corporate secretarial experience with the Board of a complex organization (preferably, with a banking organization)
- Qualified chartered secretary, with at least 3-4 years listed plc experience
- Proven knowledge of Luxembourg (and other European countries) law
- Commit time to RBF activities and conversations that strengthen the Fund’s culture and improve its effectiveness
- Progressive experience in financial or legal services
2
Skills For Corporate Office of the Secretary Assistant Corporate Secretary Resume
- Collaborates with other team members to establish specific goals and plans in order to prioritize, organize, and accomplish department objectives; and
- Self-motivated and able to prioritise workload to meet tight deadlines
- A confident can-do attitude with strong attention to details
- Three to Five or more years' experience in corporate and subsidiary governance related work and exposure to legal settings
- Addressing outstanding Board meeting action items in the Board Meeting (from prior meetings)
3
Skills For Associate, Office of the Corporate Secretary Resume
- Dealing with maintenance & cleaning services on two floors of the business-center (changing lamps, unclogging, fixing conditioning systems, ect)
- Supporting corporate secretarial matters for US subsidiaries, including drafting and preparation of materials for subsidiary meetings
- Coordinating all Moody’s Investors Service, Inc. board meetings, setting calendars, agendas, and working with independent directors
- Advising the corporate social responsibility team and reviewing and/or preparing materials in connection with private foundation and philanthropic matters
- Assisting in the preparation of meeting materials provided to the mutual fund boards and their standing committees (e.g., Audit, Governance, Investment)
- Establishing and maintaining internal and external practices of the highest quality in dealing with SEC requirements
- Preparing and advising on certain executive officer and director compensation disclosures
- Advising on equity compensation related issues and assisting with the administration of equity plans, the Company’s pension plan and 401k plan
- Assisting with special projects relating to strategic initiatives of the business unit
4
Skills For Senior Corporate Secretary Resume
- Identifying and implementing process or other improvements in the operation of the corporate secretary function
- Managing and preparing corporate governance documentation (i.e. minutes, resolutions, certificates of incumbencies,
- Understanding of the products Standard Life market
- Providing Powerpoint presentation support
- Handling sensitive personnel related documents (where required)
5
Skills For Executive Assistant to the Office of the Corporate Secretary Resume
- Drafting and editing of corporate bylaws
- Coordinating and attending board and committee meetings
- Drafting comprehensive meeting minutes
- Planning logistics for the meeting day /days
- Coordinating director calendars (ensure appropriate number of meetings and director attendance to fulfill quorum and voting requirements)
6
Skills For Corporate Secretary Services Mgr Resume
- Developing and organizing Director orientation and education programs
- Working closely with the corporate secretary, general counsels and chief operating officers of Morgan Stanley’s two
- Attending certain Board-level and /or management committee meetings and drafting minutes with respect thereto
- Liaising with the accounting department and the functional teams in Munich and London
- Preparing materials for Board of Directors, Board Committee and Management Committee meetings
- Producing data/ content that is of high quality and is timely
- Ensuring draft documents are easily discerned from final versions and adhere to document retention standards
- Assisting in execution of the Terms of Reference/Mandate and obligations of the Board
- Coordinating Board / Committee calendar and agenda
7
Skills For Corporate Secretary Associate Corporate Secretary s Office Resume
- Serving as a liaison for directors, officers, and the Bank's primary shareholder
- Maintaining key corporate documents and records
- Ensuring corporate governance process complies with applicable Bank regulatory guidance and expectations and UBS policy
- Liaising with Bank Management, Finance, Compliance and Legal personnel
- Being sensitive and intuitive to the demands of the Board Chairman, Bank CEO and its Directors
- Overseeing key vendor relationships
- Monitoring external developments on all matters of Corporate Governance and corporate administration
- Working knowledge of SEC, NYSE and Section 16 reporting requirements
8
Skills For IFS Corporate Secretary Resume
- Assist with various department matters, including determining hardware/software needs, preparing the department’s budget, monitoring department expenses
- Maintain the filing systems for Office of the Secretary, both physical and electronic records including institutional documents and board meeting minutes books
- Take on special projects as assigned, including participating in the oral history initiative and supporting special events such as board-related meetings, etc
- Prepare letters and documents, receiving and sorting out e-mails and deliveries
- Board meeting support including, but not limited to
- Assists Corporate Secretary and Assistant Corporate Secretary in supporting and managing assigned subsidiary Boards, Committees, Partnerships, and Memberships
9
Skills For Asst Corporate Secretary Resume
- Responsible for implementing and communicating decisions made by the board/committee
- Responsible for drafting/revising board/committee minutes, related support documentation, and notifications in collaboration with leadership
- Governance and management of Boards of Directors of US legal entities, including a regulated broker dealer and newly-formed US Intermediate Holding Company
- Coordination of a new trustee orientation program and providing assistance in onboarding of new trustees
- Play a key role in developing and assisting with annual board, committee and director evaluations
10
Skills For Analyst / Associate, Corporate Secretary Resume
- Assist with administering the company’s Insider Trading Policy
- Comply with all applicable federal, state and local banking and industry related laws and regulations including but not limited to the Bank Secrecy Act
- Oversee library including adding new publications to the inventory
- In depth understanding of limited companies and company administration
- Able to liaise at all levels, including with directors and senior managers
- Manage all board and committee meeting logistics
List of Typical Responsibilities For a Corporate Secretary Resume
1
Responsibilities For Assistant Corporate Secretary Resume
- Ad hoc support on corporate projects such as M&A transactions, corporate financing, capitalisations, liquidations and incorporations working closely with internal teams in Legal, Tax, Accounting and Treasury
- Engaging and working with external advisers across numerous jurisdictions
- Preparation and submission of ‘Anti-Money Laundering and ‘Know Your Client’ requests
- Project-lead for pre-liquidation preparation and dissolution of lastminute.com legacy entities in various jurisdictions
- Support of implementation and roll out of compliance based programmes in EMEA
- Oversight of Company Secretarial and lastminute.com entity closure budgets; and
- Well-organised with diligent approach to detail
- Interact with a range of individuals at different levels, a collaborative team-player
- Work calmly and authoritatively under pressure
2
Responsibilities For Corporate Office of the Secretary Assistant Corporate Secretary Resume
- Innate respect for confidentiality & correct application of procedures and protocols
- Americas Corporate Secretariat function
- Act as custodian of corporate records, documents, minute books, and the Company seals
- Initiate and prepare calls, notices or waiver of notice, agendas, minutes, and other correspondence in connection with meetings of the Company's Board and shareholders
- Administer/Maintain the Board portal
- Maintain lists of directors, officers, and committees of the Company, as well as historical files
3
Responsibilities For Associate, Office of the Corporate Secretary Resume
- Maintain and provide formatting guidelines for all Board and Committee meeting minutes and materials, as well as train employees responsible for these items as necessary
- Research minutes and corporate documents as requested
- Organize and coordinate offsite Board meetings as directed
- Assist in preparation and filing of Company documents including articles of incorporation, charter amendments, bylaw revisions, corporate governance revisions, Investor Relations website revisions
- Prepare packets for new Board members and distribute completed forms in a timely manner as necessary to Human Resources and Shareholder Services
4
Responsibilities For Senior Corporate Secretary Resume
- Answer data and affiliate report requests as required
- Assisting team members with Board support, including assisting with preparation of Board and Board Committee meetings, agendas and papers, meeting calendars, meeting room bookings, tracking of Directors’ meeting attendance, induction and training and managing logistics for such trainings
- Expense administration, including the tracking of external vendor engagements and invoice processing
- Serves as an inter-departmental focal point of communication and engagement on corporate governance issues, for internal and external corporate and regional departments, including internal and external physicians who serve on various boards
- Direct governance support to Corporate level departments including CHRISTUS Physician Enterprises, CHRISTUS Continuing Care, Ambulatory Strategies Physician Group (and Louisiana), and all assigned Ambulatory entities housed within the listed departments
- Responsible for execution of governance matters relating to Subsidiary management
- Responsible for governance oversight and maintaining knowledge of joint venture operating agreements and other related governance documents to ensure proper execution of required board and committee approvals in conjunction with ongoing business and operations decisions
- Ensures integrity of the governance support framework for governing boards/committees
- Responsible for efficient administration of entity boards/committees
5
Responsibilities For Executive Assistant to the Office of the Corporate Secretary Resume
- Serves as governance liaison for officers, managers and directors of boards and committees
- Independently prepare notices of meetings and document meeting transactions in a matter that describes the depth to which a committee evaluated a material issue and the presence of dissenting views and votes, if any
- Lead the planning and coordination of Committee and Partnership / Membership meetings, including agenda preparation, review of materials and ensuring timely delivery of materials to Committees and Management
- Independently prepare, gather, and distribute materials and presentations for Board-level committee meetings, and all boards/committees listed above, and assist with Board, Partnership / Membership and committee meetings
- File and maintain corporate organizational documents and minutes, work with Corporate Secretary to gain a thorough knowledge on interpreting and applying bylaw provisions and the company's business and history
- Strong sense of intellectual curiosity; keen interest in corporate governance matters and securities law
- Research status of assigned corporations, coordinate, review, and assist in dissolution procedures, whenever necessary
- Draft and file articles of incorporation, articles of dissolution, mergers, trademarks and assumed names in coordination with internal and external attorneys
- Assist and produce appropriate documentation in due diligence investigations in collaboration with other corporate and regional departments
6
Responsibilities For Corporate Secretary Services Mgr Resume
- Highly motivated and adaptable; versatility, maturity and ability to work on a team of diverse individuals in multiple locations
- Draft Board and Committee minutes and resolutions
- Responsible for comprehensive meeting planning and coordination, including coordination of travel and meeting logistics such as hotel and banquet service selection
- Negotiation of contracts with hotel venues for Board meetings and other outside vendors
- Manage internal support personnel
- Primary corporate governance contact for domestic and international subsidiaries, including appointing Directors and Officers and maintaining the internal database
- Experience in corporate governance and general corporate matters with experience in complex corporate transactions
- Experience with SEC filings/ correspondence and compliance in a publicly traded company
- Reviewing Section 16 filings (Forms 3/4/5) and coordinating trading plans for senior management
7
Responsibilities For Corporate Secretary Associate Corporate Secretary s Office Resume
- Filing Annual/Interim Written Affirmation with the NYSE
- Ownership of the drafting of the annual Proxy Statement – coordinating with HR and Finance
- Provide senior-level governance assistance to the Americas Corporate Secretariat in managing legal entities in the Barclays Americas Region
- Preparation of the preliminary draft minutes of meetings of the mutual fund boards and their standing committees; and
- Preparation of FMG LLC’s responses to various industry surveys relating to mutual fund trustee compensation
- Maintain minute books for Board of Directors, Committees and all domestic subsidiaries
- Prepare reports to comply with the Nasdaq reporting requirements including: annual written affirmations, quarterly reporting of treasury shares and dividend declarations
- Prepare and file Forms 3, 4 and 5s for Directors and Section 16 Officers
- Coordinate with brokers to assist Directors and Corporate Officers with transactions in Company stock
8
Responsibilities For IFS Corporate Secretary Resume
- Prepare and manage executive employment agreements
- Assist with any other functions of the Corporate Secretary
- Working with and supporting the Corporate Secretary on matters for the Moody’s Corporation Board, including supporting all aspects of corporate governance, updating Board and Committee charters, coordinating D&Os questionnaires, assisting in the preparation of Board materials and monitoring corporate governance developments
- Supporting corporate secretarial matters for Moody’s Investors Service, Inc., an entity regulated as a NRSRO by the SEC
- Reviewing and/or preparing in conjunction with Finance all SEC and NYSE filings, including Annual/Quarterly Reports on Forms 10-K/Q, and Current Reports on Form 8-K
- Providing counsel regarding compliance with SEC rules, NYSE listing standards, Sarbanes-Oxley standards, and all other applicable corporate governance requirements
9
Responsibilities For Asst Corporate Secretary Resume
- Advising Investor Relations regarding earnings releases and Regulation FD compliance
- Reviewing all Investor Relations press releases and investor decks
- Reviewing all internal Town Hall presentations
- Assisting on significant corporate financing transactions, including drafting and/or reviewing various credit agreements in coordination with the Treasury and Finance departments
- Assisting on all debt offerings, including draft and/or reviewing prospectus supplements, registration statements, indentures, underwriting agreements and all ancillary documents as well as coordinating due diligence
- Maintenance of FMG LLC’s Form ADV registration with the SEC
- Assisting in the preparation of materials for the annual contract renewals that are presented to the mutual fund boards, in particular, a summary of the responses of the 45+ sub-advisory entities retained by FMG LLC to provide services to the mutual funds
- Coordinate and provide counsel on corporate governance, SEC, Sarbanes-Oxley and NYSE compliance and disclosure matters
10
Responsibilities For Analyst / Associate, Corporate Secretary Resume
- Assist with preparation for Board of Directors and related committees
- Provides advice and counsel to ensure compliance with SEC regulations and stock exchange requirements
- Interact with outside counsel, other legal personnel, technical experts, paralegals, Corporate staff, support staff and business unit leaders
- Oversees compliance with state, local and foreign governance requirements
- Oversight and preparation of agendas, materials and minutes for Board and Committee meetings; emphasis placed on synthesizing information so that key points are clearly presented in understandable format; opportunity to present at Board Committee meetings
- Advise, oversight, and coordinate the Company’s subsidiary business organizational structure, governance, and regulatory filings
- Assist with M&A, transactional, compliance, finance, and litigation support
- Interact with shareholders and proxy advisory firms
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