Vice President, SEC Compliance

Redwood City, California
Oct 07, 2021
Biotech Bay
Required Education
Bachelors Degree
Position Type
Full time

Title:                                     Vice President, SEC Compliance
Reports To:                        
Chief Legal Officer
Location:                             Redwood City, California


Reporting to the Chief Legal Counsel, the Vice President, SEC Compliance is a senior level position. This person will be responsible for addressing SEC Compliance issues and interfacing with various parts of the Company, (primarily Finance on such matters), and to oversee the filing of the Company’s SEC documents.  The position must operate independently within a dynamic environment to support the growing corporate governance needs, and will work collaboratively with various teams across the organization, including Finance/Accounting, Investor Relations/Public Affairs, Human Resources and others, as well as with external counsel.

Principal Responsibilities and Duties:

  • Provide advice and counsel to senior management on all matters relating to corporate and public company securities law matters and disclosure issues, including the preparation of SEC periodic filings (10-Ks, 10-Qs, and proxy statements), registration statements, and Section 16 filings.
  • Provide advice and develop, refine, and maintain policies and procedures relating to SEC, Nasdaq, and other regulatory requirements (including the Sarbanes-Oxley Act, Dodd-Frank Act, and Nasdaq listing standards), and corporate governance matters.
  • Review and or prepare SEC filings including 10-K, 10-Qs, Proxy Statement, 8-Ks, Section 16 reporting (Forms 3, 4 and 5), and NASDAQ compliance.
  • Maintain and manage company’s corporate governance matters relating to the company’s Board of Directors and subsidiaries. Includes drafting agendas, minutes and resolutions and reviewing board mailing materials. Also, assists or primarily responsible for corporate governance activities for specific subsidiaries.
  • Lead or assist in strategic transactions, including M&A and corporate finance transactions (e.g., stock or debt offerings).
  • Assist on executive and director compensation matters, including providing advice and counsel on matters relating to plan documentation and related securities matters (including preparation of registration statements on Forms S-3 and S-8).
  • Responsible for handling open window trading preclearance process and stock ownership and retention requirement compliance.
  • Assist in corporate secretarial functions, including preparation of Board and committee materials.
  • Assist with investor relations and corporate communications matters.
  • Assist with the creation and administration of internal compliance and ethics training.
  • Draft and negotiate agreements in connection with capital markets offerings and work with Finance teams in managing debt and equity offerings.
  • Work with Finance, Accounting, Investor Relations, and Communications teams on external disclosures, such as earnings releases and press releases.
  • Administer Insider Trading Policy and 10b5-1 plans.
  • Provide corporate governance advice and support, including preparation of Board and Committee meeting materials and drafting of policies and procedures.
  • Assist with the preparation of the company’s proxy statement and coordinate matters related to the company’s annual meeting of stockholders.
  • Develop, implement and maintain investor/proxy advisory policy management system.
  • Coordinate with and efficiently manage external SEC counsel.


  • Minimum of  8 years of experience post law school, with + 5+ years of relevant securities experience.
  • Experience working in the pharmaceutical/biotechnology industry highly desired.
  • JD from an accredited U.S. law school and an active member in good standing of a U.S. state bar (either the California bar or eligible to register in California as in-house counsel).
  • Management experience in building, running, and/or developing high-performing legal teams.
  • Experience advising C-suite, Board of Directors, and executive-level leaders on corporate securities, strategy, finance, and M&A.
  • International corporate subsidiary management experience preferred.
  • Skilled, effective, and empathetic manager who will cultivate professional growth and achievement among team members
  • Effective verbal and written communication skills in all interactions with senior management, corporate departments, and all levels of employees.
  • Proven track record of effectively working cross-functionally with partners at all levels.
  • Ability to wear different hats, keep multiple projects going and “keep all the balls in the air”.
  • Excellent communication and interpersonal skills are critical for this role.
  • Demonstrate comprehensive knowledge of the Securities Act of 1933, the Securities Exchange Act of 1934 and the rules and regulations of the SEC under those acts, and of the requirements of NASDAQ, as well as Sarbanes Oxley.
  • Must demonstrate financial literacy and comprehension and articulation of corporate finance disclosure issues. Must have an understanding of the Delaware Corporation Law and be proficient in the principles and practice of major aspects of corporate law.
  • Significant client focus and collaboration with other functions and the business.
  • Excellent business judgment and ability to assess legal risk while also thinking strategically and providing practical advice.
  • Strong work ethic and ability to multi-task, prioritize and follow through on numerous projects simultaneously.
  • Must be a team player who is willing to pitch in where needed in a fast-paced, growing company
  • High ethical standards and ability to maintain the confidentiality of non-public corporate information
  • Ability to develop creative technical and/or business solutions for complex problems and implement organizational or team objectives.

Beginning July 19, 2021, Coherus BioSciences requires all new hires to be fully vaccinated against COVID-19 as of their start date.  This requirement is a condition of employment at Coherus BioSciences, and it applies regardless of whether the position is located at a Coherus BioSciences facility or is fully remote.  If you are unable to receive the vaccine due to a disability or serious medical condition, or because it is prohibited as a result of your sincerely held religious beliefs, you will have an opportunity to request a reasonable accommodation.