Blue Sky & Securities Compliance Program Lead

The role

Sidley Austin is seeking a seasoned securities lawyer with 7+ years of PQE to lead its Blue Sky & Securities Compliance Program in New York. This role is for an experienced individual who can modernize and expand the firm's existing program, overseeing filings and providing expert guidance within the Securities and Funds practice areas.

What you'll do

• Assume leadership of the firm’s blue sky and securities filing program, maintaining uninterrupted, high-quality service while assessing current workflows, staffing, documentation, and controls to identify and prioritize improvements
• Develop and execute a roadmap to upgrade the program, including standardizing and refreshing templates, checklists, and intake procedures, tightening quality-control standards, and reducing manual effort and turnaround times
• Extend the program to cover additional fund strategies, offering types, geographies, and filing needs, and develop a plan for scaling capacity as demand from the funds practice grows
• Oversee all federal and state exempt offering filings for private funds and other issuers, including Form ID, Form D (initial, amendment, and annual), state notice filings, fee calculations, and renewals under Regulation D and related exemptions
• Provide expert guidance on state securities law exemptions and preemption under NSMIA, and resolve complex or novel multi-state questions arising from fund offerings
• Supervise, train, and mentor the staff attorney and paralegals; set priorities, review work, develop career paths, and make the case for and lead the recruitment of additional team members as the program grows
• Evaluate the program’s current filing, calendaring, and tracking tools, including EDGAR and NASAA EFD workflows; recommend and implement enhancements or new technology; and manage vendor relationships as appropriate
• Strengthen controls to ensure deadlines are met across all jurisdictions, including escalation procedures, error-remediation practices, and periodic audits of filing records and historical data
• Serve as the primary point of contact for relevant Sidley attorneys on blue sky and related matters; gather feedback on current service and use it to shape improvements; present the program to clients and prospective clients where appropriate
• Monitor and communicate state and federal regulatory developments affecting exempt offerings and blue sky compliance, and update firm practices accordingly
• Refine service models, staffing plans, and budgets for the program, and work with firm finance and practice management on billing approaches, performance metrics, and reporting to firm leadership
• Maintain and build relationships with state securities regulators, EDGAR filer support, and NASAA staff as needed

What we're looking for