Overall Job SummaryThe Sr Director, Legal (Securities & Corporate Compliance) serves as the Company's senior legal leader for securities law, public company reporting, corporate governance, and enterprise compliance oversight. This role partners closely with the General Counsel, Corporate Secretary, executive leadership team, Board of Directors, and cross-functional stakeholders to ensure the Company maintains the highest standards of transparency, regulatory compliance, and governance excellence.
This position is responsible for leading NASDAQ compliance, strengthening disclosure controls and procedures, advising on capital markets and strategic transactions, and driving continuous improvement in corporate compliance practices. The role also provides proactive regulatory guidance to mitigate risk while enabling responsible business growth.
Essential Duties and Responsibilities (Min 5%)- Lead and oversee the preparation, review, and filing of SEC reports and registration statements, including Forms 10-K, 10-Q, 8-K, proxy statements, and other required filings, ensuring accuracy, timeliness, and strategic alignment of disclosures.
- Own and continuously enhance the Company's disclosure controls and procedures, partnering with Finance, Internal Audit, Investor Relations, and business leaders to ensure effective internal reporting and governance processes.
- Serve as a key advisor to executive leadership and the Board of Directors (including Audit and Governance Committees) on securities law matters, corporate governance trends, and emerging regulatory developments.
- Oversee compliance with NASDAQ listing standards and applicable SEC regulations; monitor governance best practices and recommend enhancements to policies, committee charters, and governance frameworks.
- Provide legal leadership on capital markets transactions, including debt and equity offerings, credit facilities, and related financing activities; partner with internal teams and external counsel on execution.
- Support mergers, acquisitions, and other strategic initiatives by providing securities law and governance guidance.
- Lead regulatory interpretation and provide practical operational guidance to ensure corporate activities align with applicable laws and listing standards.
- Partner cross-functionally to strengthen enterprise compliance programs and proactively identify and mitigate regulatory risk.
- Develop and maintain governance policies, training materials, and educational programs for senior leadership and the Board.
Required QualificationsExperience: 8-10 years' experience ideally comprised of relevant securities law and public company reporting experience with a high-caliber law firm or relevant government agency and in-house experience with a NASDAQ publicly-traded company. Retail experience preferred.
Education: Juris Doctorate from accredited law school; active member of at least one US State bar in good standing; able to obtain membership in the Tennessee bar.
Preferred knowledge, skills or abilities- This role is for a hands-on person with great attention to detail, excellent people skills, a constant learner, and an excellent writer who can help weave our corporate story throughout various filings and releases.
- Demonstrated ability to (i) identify and raise salient issues, (ii) draft language and propose various options that consider relevant strategic or business goals, and (iii) communicate issues, risks, and solutions clearly and concisely to lawyers and non-lawyers alike.
- Creative thinker and an effective storyteller who is willing to learn and understand our corporate mission and advocate passionately for our business.
- Experience dealing with diverse constituencies and external parties (board members, investors, senior management, regulators, and external counsel)
- Experience with ESG reporting.
- Proven ability to handle multiple projects and assignments simultaneously, without significant direct supervision from a senior attorney, and still meet high quality and timeliness standards.
- Constant learner of new things, adaptive, and willingness to share with team members.
- Strong/innate sense for business ethics, compliance, and legitimacy in business dealings.
- Flexible, enthusiastic, ambitious and possesses an inherent intellectual curiosity about business, law, markets, customers, operations, people, and processes.
Working Conditions- Normal office working conditions
Physical Requirements- Sitting
- Standing (not walking)
- Walking
- Kneeling/Stooping/Bending
- Reaching overhead
- Lifting up to 10 pounds
DisclaimerThis job description represents an overview of the responsibilities for the above referenced position. It is not intended to represent a comprehensive list of responsibilities. A team member should perform all duties as assigned by his/ her supervisor.
