Attorney (Capital Markets Securities Counsel Or Partner)

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:

• Reverse mergers and alternative public offerings
• PIPEs, structured equity & convertible debt financings
• Uplisting from OTC, TSX, AIM, and other markets to NASDAQ or NYSE
• Initial and secondary public offerings
• Resale registration statements and follow-on financings
• Public company M&A, asset sales, and strategic investments
• Balance-sheet restructurings, recapitalizations, and equity clean-ups

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:

• Structuring and documenting PIPEs, registered directs, and private placements
• Drafting and reviewing S-1s, resale registration statements, 10-Ks, 10-Qs, 8-Ks, and prospectuses
• Managing NASDAQ, NYSE, SEC, and FINRA processes tied to uplistings and financings
• Advising boards and management on corporate governance, disclosure, and fiduciary duties
• Supporting M&A and recapitalization transactions tied to capital raises
• Working directly with CEOs, investors, placement agents, and underwriters

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:

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

Why This Platform Is Different

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

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

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.