Senior Corporate Counsel

The Team:

Upstarts legal team is a key component of the company helping Upstart innovate in the fintech space across multiple products and supporting its mission of expanding access to credit based on true risk. We are a team of savvy hardworking and genuinely nice individuals collaborating closely with the business in achieving its objectives.

As the Senior Corporate Counsel Corporate & Securities at Upstart you will help lead major work streams related to Upstarts public company obligations and corporate governance practices. You will also assist with strategic transactions like equity and debtofferings and M&A transactions. This role will work with a wide variety of partners including investor relations accounting stock administration treasury and compliance.

Position Location San Mateo CA

Time Zone Requirements This team operates on West Coast time zones.

Travel Requirements As a digital first company the majority of your work can be accomplished remotely. The majority of our employees can live and work anywhere in the U.S but are encouraged to to still spend high quality time inperson collaborating via regular onsites. The inperson sessions cadence varies depending on the team and role; most teams meet once or twice per quarter for 24 consecutive days at a time.

How youll make an impact:

• Provide legal advice and practical businessoriented legal solutions and ensure compliance with respect to matters arising under federal securities laws SEC rules and regulations and NASDAQ requirements
• Partner with crossfunctional teams on disclosure matters including drafting and advising on SEC filings (including Forms 10K 10Q 8K etc. and reviewing earnings and other press releases presentations significant internal communications and other announcements
• Draft the proxy statement and related materials for the annual stockholders meeting
• Lead corporate finance transactions including debt and equity capital markets offerings
• Support Upstarts Board of Directors and its committees meetings including preparing meeting agendas minutes resolutions and board materials
• Review Section 16 filings including Forms 3 4 and 5 ensuring compliance with reporting requirements
• Advise on corporate governance best practices and administer certain corporate policies and programs such as the insider trading policy related party transaction policy and Rule 10b51 plans
• Counsel on a range of corporaterelated matters such as executive compensation equity plans stock administration and related policies
• Help with special corporate projects including strategic transactions and legal trainings.

What were looking for:

• Minimum qualifications:
• J.D. degree with solid academic credentials and a state bar membership (CA or NY preferred)
• 5 years of legal experience in corporate and securities law at a major law firm and/or inhouse at a public company
• Excellent knowledge of securities laws and regulations including the 1933 and 1934 Acts
• Solid corporate governance experience working on board of directors and board committee matters
• Familiarity and experience with corporate finance transactions including in debt and equity capital markets
• Selfstarter who thrives under limited direction and is excited by challenges
• Strong communication and project management skills with a demonstrated ability to effectively and proactively provide quick concise and practical legal advice
• Excellent judgment with demonstrated decisionmaking capability while dealing with legal regulatory and business issues involving competing interests
• Team mentality

• Preferred qualifications:
  • Prior inhouse legal experience at a public company
  • Experience leading mergers and acquisitions transactions
  • Experience in the financial services or fintech space

What youll love:

• Competitive Compensation (base bonus & equity)
• Comprehensive medical dental and vision coverage with Health Savings Account contributions from Upstart
• 401(k) with 100 company match up to $4500 and immediate vesting and aftertax savings
• Employee Stock Purchase Plan (ESPP)
• Life and disability insurance
• Generous holiday vacation sick and safety leave
• Supportive parental family care and military leave programs
• Annual wellness technology & ergonomic reimbursement programs
• Social activities including team events and onsites allcompany updates employee resource groups (ERGs) and other interest groups such as book clubs fitness investing and volunteering
• Catered lunches snacks & drinks when working in offices

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