Job Description

Job Description

Public Companies • Micro-Cap & Small-Cap • PIPEs • Uplisting • M&A • SEC Compliance

Hybrid / Remote | Entrepreneurial Platform

We are representing a fast-growing, entrepreneurial corporate and securities law firm that operates at the intersection of capital markets, M&A, and growth-stage public companies . The firm is a recognized leader in micro-cap and small-cap public company transactions , advising U.S. and international issuers, investors, placement agents, and funds on complex financings, exchange listings, and strategic transactions.

This is an opportunity for a deal-running securities lawyer who understands how capital is raised and transactions are closed in the lower-middle-market public company ecosystem — not just blue-chip IPOs.

The Practice

The firm serves as outside general counsel and capital-markets quarterback to micro-cap, small-cap, and growth-stage public companies seeking access to U.S. capital markets and institutional investors. The platform handles:

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• Reverse mergers and alternative public offerings
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• PIPEs, structured equity & convertible debt financings
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• Uplisting from OTC, TSX, AIM, and other markets to NASDAQ or NYSE
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• Initial and secondary public offerings
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• Resale registration statements and follow-on financings
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• Public company M&A, asset sales, and strategic investments
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• Balance-sheet restructurings, recapitalizations, and equity clean-ups
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These matters often involve thinly traded securities, cross-border issuers, complex capital structures, and simultaneous financings , requiring attorneys who understand both the business reality and the regulatory framework .

What You’ll Do

You will act as lead capital-markets and securities counsel on high-volume, deal-driven matters, including:

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• Structuring and documenting PIPEs, registered directs, and private placements
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• Drafting and reviewing S-1s, resale registration statements, 10-Ks, 10-Qs, 8-Ks, and prospectuses
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• Managing NASDAQ, NYSE, SEC, and FINRA processes tied to uplistings and financings
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• Advising boards and management on corporate governance, disclosure, and fiduciary duties
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• Supporting M&A and recapitalization transactions tied to capital raises
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• Working directly with CEOs, investors, placement agents, and underwriters
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This is a front-line deal role , not a back-office compliance position.

Who This Is For

This role is ideal for a partner with portable business who:

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• Has 7–10+ years of securities and capital markets experience
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• Has worked with micro-cap, small-cap, or growth-stage public companies
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• Is comfortable running PIPEs, reverse mergers, uplistings, and follow-on offerings
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• Wants client ownership, deal flow, and upside , not a narrow SEC-reporting silo
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Why This Platform Is Different

This firm is built around closing transactions in difficult capital markets , offering:

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• Direct relationships with funds, placement agents, and exchanges
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• Creative fee structures (flat, hybrid, equity-based) aligned with deal success
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• Deep experience in thinly-traded and cross-border issuer markets
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• Real business-development opportunity with capital-hungry clients
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• An entrepreneurial culture focused on getting deals done
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Explore Confidentially

If you are a capital-markets attorney who understands the micro-cap and small-cap ecosystem and wants to run deals in a platform built for transaction velocity and client growth, we welcome a discreet conversation.

Apply to start a confidential discussion.

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