Top 2 Vice president of compliance Jobs in Cincinnati, Oh

VP and Deputy General Counsel - Securities
Core Specialty —Cincinnati, OH
- Full-time
- Hybrid work
- US work authorization
- Training & development
- Senior level
- Wellness program
- Health savings account

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VP and Deputy General Counsel - Securities

Core Specialty -
Cincinnati, OH

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Job Details

Full-time

Benefits

Wellness program
Health savings account
Disability insurance
Health insurance
Dental insurance
Flexible spending account
401(k) 6% Match
Employee assistance program
Vision insurance
401(k) matching
Opportunities for advancement

Qualifications

Doctor of Law (JD)
Bar

Full Job Description

Core Specialty, through its subsidiary insurers, offers a diversified range of specialty insurance products for small to mid-sized companies. Our culture emphasizes a “bring-it-on” attitude, quick action with intent, problem solving with expertise, and personal accountability.

Core Specialty is looking for a VP and Deputy General Counsel focused on issuer-side securities reporting and compliance to directly support Core Specialty’s businesses to ensure the continued success of the organization and to build for the growth that is expected in the future. This Deputy General Counsel role is an exciting opportunity for a high performer with advanced, sophisticated skills and an entrepreneurial spirit to make meaningful, high-visibility impacts across the organization. An attorney who appreciates and prefers a collaborative, teamwork-oriented approach to the practice of law will be the ideal candidate for this position, which reports to the General Counsel of Core Specialty.

Key Accountabilities/Deliverables:

Lead all securities law compliance efforts, including Exchange Act and Securities Act filings, stock exchange rules, and disclosure controls tailored to insurance‑specific reporting.
Oversee preparation and review of Forms 10‑K, 10‑Q, 8‑K, proxy statements, Section 16 filings, and registration statements, ensuring alignment with statutory accounting (SAP) and GAAP considerations.
Partner with regulatory counsel and compliance, as appropriate, with respect to insurance regulatory reporting intersections, including risk‑based capital (RBC) considerations, ORSA‑related disclosures, and rating agency interactions.
Provide legal guidance on capital markets transactions, including surplus notes, debt offerings, equity raises, and reinsurance‑related financing structures.
Manage insider trading compliance, blackout periods, and training for employees and directors.
Partner with investor relations and finance on earnings cycles, disclosure controls, and shareholder engagement initiatives.
Advise on matters that involve the intersection of securities with corporate governance, including board and committee support, executive compensation matters, governance policies, and annual meeting preparation.
Manage outside counsel and ensure efficient use of legal resources.

Technical Knowledge and Understanding:

Deep knowledge of SEC regulations, public company reporting, and disclosure controls frameworks.
Strong understanding of securities transactions and legal issues affecting capital treasury functions.
Exceptional communication skills and business judgment.

Experience:

Juris Doctor from accredited law school and active law license in good standing required.
10+ years of securities law experience preferred.
Experience working with rating agencies on disclosure and governance matters preferred.
Ability to lead in ways that mitigate risk to the company but also gives the business the flexibility to stretch and grow.
Experience in providing guidance with respect to statutory accounting and financial disclosures.
Comfort with, or expertise in securities regulatory and compliance matters.
Previous experience in the financial services or insurance industry preferred but not required.

Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or take over work authorization sponsorship now or in the future for this position.

#LI-Hybrid

At Core Specialty, you will receive a competitive salary and opportunities for professional development and advancement. We offer medical, dental, vision, and life insurances; short and long-term disability; a Company-match of 100% of a 6% contribution 401(k) plan; an Employee Assistance Plan; Health Savings Account, Flexible Spending Account, Health Reimbursement Account, and a wellness program

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VP and Deputy General Counsel - Securities

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