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Senior Securities Counsel

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Location: Deerfield, IL, United States
Date Posted: Oct 1, 2019

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Job Description


The Business Segment:


Everything we do in Law, Security & Public Policy is in support of the Enterprise Strategy and Caterpillar’s purpose: Our solutions help our customers build a better world.


Our team serves the business by providing education, counsel and guidance in business risk identification and mitigation. From safety to legal and regulatory issues to corporate affairs, our highly trained team is helping Caterpillar—and its customers—build a better world, every day.


This role reports into the Enterprise Governance and Finance group of Law, Security & Public Policy. This group manages, among other things: Securities Law Issues which includes SEC compliance and filings and Insider Trading matters; Treasury Finance Legal Matters which includes Corporate Finance and Credit Agreements; and Corporate Governance Issues which includes Board of Director and Stockholder matters.


The Opportunity:


We are seeking an attorney with experience advising large, NYSE-listed corporations on securities law, debt and equity offerings, insider trading, corporate governance  and corporate treasury matters. This attorney will provide legal counsel and advice to the enterprise and various business units on legal matters, both domestic and international.

Responsibilities of the incumbent include effective performance of legal functions for the company and its subsidiaries and affiliates  by providing daily counseling requiring accurate interpretation of the law as it applies to various situations. Responsibilities for this position will include, but are not limited to:

  • Providing legal advice and counsel with respect to securities laws and all public company disclosure matters, including drafting and reviewing filings with the U.S. Securities and Exchange Commission (e.g. ’34 Act reports, Section 16 compliance, registration statements, proxy statement, etc.)

  • Providing legal advice and counsel with respect to insider trading laws and the company’s insider trading policy

  • Providing legal advice and counsel with respect to public company corporate governance matters, corporate governance documents, compliance with stock exchange listing requirements (including NYSE and foreign exchanges), and ensuring accuracy and compliance with applicable laws

  • Drafting and negotiating debt and equity transaction documents, credit facilities and related agreements, corporate treasury borrowing and derivatives agreements and providing general advice and counsel to clients on these and related corporate financing matters

  • Monitoring legal developments in assigned area that could impact the company

  • Supporting board of directors and board committee meetings, as needed

  • Overseeing and managing outside counsel and staff, as required

  • Managing an operating budget

  • Additional responsibilities and job duties as assigned


Basic Qualifications:


  • J.D. from an ABA accredited law school

  • Licensed to practice law in one or more U.S. jurisdictions

  • Minimum of 6 years of law firm experience advising large, NYSE-listed corporations on securities law, insider trading, debt and equity offerings, corporate governance  and corporate treasury matters

  • Ability and willingness to travel at least 10% of the time as needed


Top Candidates Will Also Have:


  • In-house experience advising large, NYSE-listed corporations on securities law, insider trading, debt and equity offerings, corporate governance  and corporate treasury matters

  • Excellent judgment and the ability to provide clear, reasoned and timely legal advice in the best interests of Caterpillar

  • Strong organizational skills

  • Strong written and oral communication skills

  • The ability to thrive in an environment where collaboration and teamwork is a priority

  • The ability to interact well with business leaders at all levels

  • Flexibility and a willingness to adapt to the changing needs of the enterprise and business environment

  • Project management experience

  • The ability to work effectively in a fast-paced, diverse, multidisciplinary environment

This role will be based in Deerfield, IL.



 Additional Information: 


Caterpillar is not currently hiring individuals for this position who now or in the future require sponsorship for employment visa status; however, as a global company, Caterpillar offers many job opportunities outside of the U.S. which can be found through our employment website at


Caterpillar is an EEO/AA Employer. All qualified individuals – including minorities, females, veterans and individuals with disabilities – are encouraged to apply.




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Job Info

Oct 1, 2019


United States