Corporate Securities Paralegal

Direct Digital Holdings•Houston, TX

9d•Hybrid

About The Position

Direct Digital Holdings is seeking an experienced Corporate Securities Paralegal to support the CFO and the broader finance and legal functions in managing the Company’s full SEC reporting calendar and supporting the Company’s public company compliance, capital markets activity and corporate governance activities. This is a hands-on, high-trust role requiring someone who has operated inside a sophisticated public-company reporting environment and can bring large-company rigor and process discipline to a mid-cap issuer. The successful candidate will play a central role in preparing and filing periodic and registration documents, supporting capital raises, coordinating with outside counsel and auditors, and helping the CFO maintain a clean, audit-ready reporting infrastructure. This role is hands-on and execution-focused; the right candidate will be equally comfortable rolling up their sleeves on filing mechanics and operating as a process owner across functions. This is a hybrid position that requires three days a week in the Houston office.

Requirements

Minimum 7+ years of experience in securities, governance or corporate law, with at least 3 years gained at a large public company (large-cap or top-tier mid-cap) or an Am Law 100 / top regional securities practice.
Paralegal certificate from an ABA-approved program; bachelor’s degree preferred.
Demonstrated, end-to-end experience preparing and filing S-1, S-3, S-8, 10-K, 10-Q, 8-K, DEF 14A, and Section 16 filings.
Direct, hands-on EDGAR filing experience, including familiarity with EDGAR Next, filer credentials management, and EDGAR codes administration.
Working knowledge of the Securities Act of 1933, the Exchange Act of 1934, Sarbanes-Oxley, Regulation S-K, Regulation S-X, Regulation FD, and relevant NASDAQ listing rules.
Proficiency with disclosure management and filing platforms such as Workiva (Wdesk), DFIN Active Disclosure, or Donnelley Venue.
Experience supporting capital markets transactions (registered offerings, ATMs, PIPEs, warrant transactions, or convertible instruments).
Exceptional attention to detail, document control discipline, and the ability to manage simultaneous filing deadlines under pressure.
Strong written and verbal communication skills; able to interface credibly with the CFO, General Counsel, outside counsel, auditors, and board members.

Nice To Haves

Experience at a smaller-cap or recently-public issuer, in addition to large-company experience, so the candidate is comfortable operating without a deep bench.
Familiarity with AdTech, SaaS, media, or technology industry disclosure issues.
Exposure to NASDAQ compliance matters (bid price, MVLS, stockholders’ equity), reverse stock splits, and shareholder activism / proxy contest mechanics.
Working knowledge of Reg SHO, FINRA short interest reporting, and market structure issues affecting small-cap issuers.
Experience supporting M&A transactions (Form 8-K Item 1.01/2.01 disclosures, S-4 filings, and proxy statements for business combinations).

Responsibilities

Drive preparation, internal review, and EDGAR filing of Forms 10-K, 10-Q, and 8-K, including drafting cover pages, exhibit indexes, signature pages, and managing internal version control.
Maintain the SEC filings calendar, EDGAR codes and disclosure checklists; ensure all filing deadlines (including Section 16 Forms 3, 4, and 5 for officers, directors, and 10% holders) are met without exception.
Coordinate XBRL/iXBRL tagging and review with the Company’s filing agent and financial printer.
Support drafting, review, and filing of Forms S-1, S-3, S-8, and related amendments, prospectus supplements, and Rule 424 filings.
Assist with shelf takedowns, ATM programs, ELOC draws, registered direct offerings, PIPEs, and warrant transactions, including preparation of closing checklists, exhibit lists, and officer’s certificates.
Maintain due diligence files and back-up documentation for registration statement exhibits.
Lead the annual proxy statement, special meeting proxies, and consent solicitations, including coordination with the proxy solicitor, transfer agent, inspector of elections, and Broadridge.
Maintain corporate records: minute books, board and committee resolutions, consents, charters, D&O questionnaires, related-party transaction disclosures, and insider trading policy attestations.
Support board and committee meeting logistics, materials distribution (e.g., BoardVantage / Diligent or equivalent), and minute-taking when needed.
Monitor compliance with NASDAQ listing requirements and assist with notifications, hearings panels, and listing-related correspondence.
Administer Section 16 reporting workflows and the Company’s Rule 10b5-1 trading plan program; maintain insider lists and blackout calendars.
Support equity plan administration, including Form S-8 filings, tracking equity grants, and coordinating with the transfer agent.
Track Schedule 13D/G filings by significant holders and Form 144 activity.
Maintain subsidiary governance, including entity formations, annual reports and corporate records.
Serve as primary liaison with outside SEC counsel, the Company’s financial printer/filer, transfer agent, and auditors on filing matters.
Coordinate disclosure controls processes, sub-certifications, and 302/906 certification packages.
Maintain organized, audit-ready files for all SEC submissions, corporate authorizations, and capital markets transactions.
Track regulatory developments affecting securities and governance.
Support internal compliance programs and policy updates.