Corporate Services: Assistant General Counsel

B. Riley Financial (NASDAQ: RILY) companies provide tailored financial solutions to meet the strategic, operational, financial advisory and capital needs of its clients and partners. B. Riley operates through several subsidiaries which offer a diverse range of complementary end-to-end capabilities spanning investment banking and institutional brokerage, private wealth and investment management, corporate advisory, restructuring, due diligence, forensic accounting and litigation support, appraisal and valuation, and auction and liquidation services. B. Riley is headquartered in Los Angeles with offices across the U.S. as well as an international presence

Position Summary

B. Riley Securities, Inc. is looking for a talented Assistant General Counsel to join our dynamic legal team. Reporting to the EVP & General Counsel, the Assistant General Counsel will provide broad-based legal support to the Company’s GC and other colleagues throughout our organization, all in a manner that displays legal excellence, attention to detail, a proactive and practical approach, and a dedication to customer service. The Assistant General Counsel will be a corporate and securities generalist position supporting B. Riley’s investment banking senior management team on a variety of day-to-day legal matters, including contracts drafting and negotiation, capital markets transactions, M&A advisory assignments, regulatory compliance, litigation support, corporate transactions, employment law and corporate governance. The successful candidate will have at least 5 years of broad-based legal experience in dealing with sophisticated legal issues in the financial services industries.

This position affords a tremendous opportunity to do challenging legal work for a market leading company in a department small enough to afford meaningful contribution opportunities.

Responsibilities

· Work directly with General Counsel and the investment banking executive team.

· Provide legal support for numerous investment bankers including legal analysis and advice with respect to compliance with applicable rules, regulations and legal risks relating to the investment banking industry.

· Proactively identify and mitigate areas of risk.

· Monitor and advise on new and evolving rules and regulations.

· Provide advice and counsel on a range of corporate and securities law matters, including governance and organizational documents, securities law filings, and transactional and regulatory matters.

· Draft and review contracts, including investment banking engagement letters, confidentiality agreements, and employment and consulting agreements.

· Assist with SEC filings and public company corporate governance matters, including presentations to the Board and its committees.

· Oversee pending and threatened litigation matters.

· Manage outside counsel.

· Other duties as assigned.

Qualifications

· J.D. degree with superior academic credentials from a nationally-recognized law school.

· State bar license required.

· Have a minimum of 5 years of experience with general corporate and securities law either in a law firm or in-house counsel setting with superior training.

· Proven ability to professionally manage time, prioritize multiple responsibilities, and process a high volume of work in a timely and accurate manner with a high attention to detail.

· Demonstrated ability to self-start and work independently, and the desire and ability to work with a highly motivated team in a fast-paced environment.

· Strong client service background.

· Able to make practical, creative and decisive recommendations on outstanding issues.

· Capacity and willingness to take on multiple responsibilities.

· Strong business judgment and strategic thinking.

· Excellent verbal and written communication skills are required.

· A good sense of humor.

B. Riley Financial, Inc. employees enjoy competitive salaries, access to our 401(k)-profit-sharing retirement plan and our other benefits including paid holidays, vacation, and sick leave, voluntary group medical, dental, and vision insurance, and company paid life and disability coverage.