Trinity Capital

Associate General Counsel, Corporate and Finance

Trinity Capital Inc., a leading provider of diversified financial solutions to growth stage companies, is looking for an experienced Associate General Counsel, Corporate and Finance to join its world-class team in Phoenix, AZ.

Job Description

We are seeking an outstanding senior attorney to support the corporate legal function at Trinity as we grow our alternative lending and asset management business. The Corporate AGC will advise and assist on matters related to corporate governance, SEC and Nasdaq compliance and reporting, and regulation under the Investment Company Act of 1940 and the Investment Advisers Act of 1940. Additionally, you will support equity and debt capital markets transactions, other strategic transactions and the development of certain corporate policies, procedures and programs.

The Corporate AGC will ideally bring robust public company corporate expertise, as well as experience in direct lending, asset management, business development companies, and/or the broader financial services industry. While about 70% of the Corporate AGC’s time will be spent on corporate matters, up to 30% may be spent advising on portfolio transactions in our five business verticals—tech lending, equipment finance, life sciences, sponsor finance and warehouse lending. The successful candidate will be pragmatic and business-minded, will build strong relationships with Trinity’s internal stakeholders, external partners, and outside counsel, and will thrive in a fast-paced, collegial environment. The role will report directly to the General Counsel.

This position is based full-time, on-site at our headquarters office in Downtown Phoenix, Arizona. Compensation will consist of a base salary, annual cash bonus and annual equity award, subject to applicable conditions.

Duties and Responsibilities

  • Partner with the financial reporting team to manage the Company’s filings with the Securities and Exchange Commission, including quarterly, annual and current reports, proxy statements, and registration statements.
  • In partnership with the General Counsel, prepare and distribute board and board committee materials, develop meeting agendas, timelines and calendars, prepare board and committee resolutions and minutes.
  • Manage Section 16 filings, including insider securities transaction compliance.
  • Assist with all legal aspects of various capital markets transactions and other strategic transactions.
  • Partner with Finance to ensure compliance under the Company’s credit facilities.
  • In partnership with the General Counsel, oversee all legal aspects of the Company’s equity plan administration.
  • Manage the corporate books and records for the Company, including corporate maintenance of the Company’s subsidiaries and their respective state and other licenses.
  • Advise on regulatory issues related to the Investment Company Act of 1940 and the Investment Advisers Act of 1940, including but not limited to analysis of good/bad BDC assets, asset allocation and expense allocation.
  • Assist the General Counsel in defining optimal structures for new business initiatives.
  • Liaise with and manage outside counsel, including managing outside counsel budgets and spend.
  • Assist in the development of streamlined and improved procedures and processes. Recommend safeguards and improved efficiencies to minimize exposure.
  • Be a strategic leader in developing, implementing, and administering processes, standards and metrics.
  • Maintain a working knowledge of all legal and regulatory compliance issues as they pertain to this position.
  • Assist on special projects, as needed.

Required Qualifications

  • J.D. degree from an accredited, top-tier law school and active membership in one state bar.
  • 7+ years of practice as a corporate attorney at a firm with a recognized corporate practice (or a combination of firm and in-house experience), with 2+ years of experience in public company governance and/or capital markets transactions.
  • Practical business judgment, critical thinking, and common sense.
  • Strong written and oral communication skills to both legal and non-legal audiences.
  • Ability to work independently, be self-motivated, self-disciplined, and results-oriented, with an ability to manage priorities and substantial workflow in a fast-paced environment.
  • Ability to work collaboratively in a “team first” environment.
  • An entrepreneurial spirit and ability to champion new ideas, services, and initiatives.
  • Positive attitude and sense of humor.

Preferred Qualifications

  • Mix of law firm and in-house experience.
  • Experience working for an asset management company or BDC.
  • Experience in the financial services industry.
  • Bachelor’s degree in Finance or Accounting.

Physical Requirements

  • Ability to sit, stand, talk, utilize a computer, and read computer screens for extended periods of time
  • Maintain consistent, repetitive motion for data entry (typing/clicking)
  • Ability to lift up to 20 lbs.

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