Associate General Counsel – Dispute Resolution, Recruiting & Special Legal Matters

D.A. Davidson; Denver (CO); On-site; USD 150,000 - 190,000; Full time

Benefits offered by this job

Medical, Dental & Vision

401(k) & ESOP contributions

Paid time off (sick/vacation/parental)

Paid holidays

Professional development opportunities

Tuition reimbursement

Insurance discounts

Gift matching

Davidson Day of Giving

Job summary

D.A. Davidson is seeking an experienced in-house Counsel to ensure business affairs comply with applicable laws and regulations. You will provide sophisticated legal guidance, supervise complex litigation, draft and negotiate documents, and help shape firm policies.

The role supports Compliance, Human Capital, and business leaders across the firm. The attorney will handle regulatory matters, investigations, and strategic advisory work, while maintaining confidentiality and collaborating across

Qualifications

• Law degree with a license to practice in one or more states.
• Ethical, reliable and responsible.
• Familiar with the operations of a financial services business, including broker/dealer, registered investment adviser and trust company services
• Current and broad knowledge of corporate law, including securities, investment advisory and department of labor rules and regulations (e.g., SEC, FINRA, MSRB and state regulations).
• Experience drafting contracts other legal documents.
• Experience managing litigation, arbitration and regulatory/enforcement matters.
• High productivity and the ability to produce quality work product.
• Ability to function in a digital environment.
• Flexibility and sensitivity to facilitate discussions, convey information and implement change at all levels throughout the Companies.
• Attention to detail and ability to respond urgent situations in a timely manner.
• Maintain client confidentiality.
• Communicate in a clear and service oriented manner.
• Ability to proactively work with both external and internal clients. Collaborate with others in a professional manner in order to accomplish work responsibilities and objectives.
• Ability to maintain regular, predictable attendance.

Responsibilities

• Provide legal assistance for issues affecting Davidson Companies and its subsidiaries. Respond to complex requests for legal advice and participate in ongoing projects and day-to-day legal support of the business.
• Manage litigation, arbitration and regulatory/enforcement matters for the Company, including preparing legal advocacy documents/filings, selecting and managing outside counsel, producing documents, managing involvement of employees and witnesses, advising relevant business heads and negotiating settlements.
• Provide legal support for the Company’s response to and defense of regulatory matters and inquiries across all business lines.
• Provide legal advice and guidance to Compliance in connection with responding to customer complaints and handling client-related issues that may evolve into complaints.
• Conduct internal investigations, provide counsel and guidance to company personnel conducting investigations, provide legal advice and recommendations to management.
• Serve as main legal contact regarding employee recruiting/transition issues.
• Provide legal advice and counsel to Human Capital, Compliance, Supervision and relevant business partners regarding regulatory/policy-related issues affecting or involving employees.
• Manage collection efforts, including arbitration proceedings, to ensure repayment of outstanding employee promissory note obligations.
• Manage employment-related claims, litigation and administrative matters (e.g. OSHA, DOL, EEOC) and related investigations, including preparing legal advocacy documents/filings, selecting and managing outside counsel, producing documents, managing involvement of employees and witnesses, advising relevant business heads and negotiating settlements.
• Serve as the legal representative to the Fraud Prevention and Financial Safety team.
• Manage corporate insurance claims and coverage issues.
• Provide legal support to DA. Davidson Trust Company as necessary and requested.
• Assist Compliance and Registrations with licensing and customer issues as necessary or requested.
• Monitor legal developments and recommending changes to company policies and practices, while assisting to create additional policies that may be needed.
• Assist with special projects and perform other duties as necessary or requested.

Skills

Legal expertise

Litigation management

Regulatory compliance

Contract drafting

Policy development

Communication

Team leadership

Education

Juris Doctor (J.D.)

State attorney license

Tools

Legal research tools

Litigation support software

Job description

Function:

Serve as an in-house legal counsel to ensure the Companies’ business affairs are conducted ethically, responsibly and in adherence with all applicable laws, rules and regulations. Provide professional legal counsel and representation for complex legal affairs and proceedings for the Firm. The position responds to complex requests for legal advice from Firm personnel and recommends and assists in the development of policies and procedures based on legal opinion. In addition, the position reviews, develops and negotiates complex legal documents. The position is challenged to remain current on industry and broker-dealer and registered investment advisor legal issues in a dynamic, ever changing work environment. The position is also responsible for supervising the Associate General Counsel – Employment and Employee Benefits.

Qualifications:

• Law degree with a license to practice in one or more states.


• Ethical, reliable and responsible.


• Familiar with the operations of a financial services business, including broker/dealer, registered investment adviser and trust company services


• Current and broad knowledge of corporate law, including securities, investment advisory and department of labor rules and regulations (e.g., SEC, FINRA, MSRB and state regulations).


• Experience drafting contracts other legal documents.


• Experience managing litigation, arbitration and regulatory/enforcement matters.


• High productivity and the ability to produce quality work product.


• Ability to function in a digital environment.


• Flexibility and sensitivity to facilitate discussions, convey information and implement change at all levels throughout the Companies.


• Attention to detail and ability to respond urgent situations in a timely manner.


• Maintain client confidentiality.


• Communicate in a clear and service oriented manner.


• Ability to proactively work with both external and internal clients. Collaborate with others in a professional manner in order to accomplish work responsibilities and objectives.


• Ability to maintain regular, predictable attendance.

Duties:

• Provide legal assistance for issues affecting Davidson Companies and its subsidiaries. Respond to complex requests for legal advice and participate in ongoing projects and day-to-day legal support of the business.


• Manage litigation, arbitration and regulatory/enforcement matters for the Company, including preparing legal advocacy documents/filings, selecting and managing outside counsel, producing documents, managing involvement of employees and witnesses, advising relevant business heads and negotiating settlements.


• Provide legal support for the Company’s response to and defense of regulatory matters and inquiries across all business lines.


• Provide legal advice and guidance to Compliance in connection with responding to customer complaints and handling client-related issues that may evolve into complaints.


• Conduct internal investigations, provide counsel and guidance to company personnel conducting investigations, provide legal advice and recommendations to management.


• Serve as main legal contact regarding employee recruiting/transition issues.


• Provide legal advice and counsel to Human Capital, Compliance, Supervision and relevant business partners regarding regulatory/policy-related issues affecting or involving employees.


• Manage collection efforts, including arbitration proceedings, to ensure repayment of outstanding employee promissory note obligations.


• Manage employment-related claims, litigation and administrative matters (e.g. OSHA, DOL, EEOC) and related investigations, including preparing legal advocacy documents/filings, selecting and managing outside counsel, producing documents, managing involvement of employees and witnesses, advising relevant business heads and negotiating settlements.


• Serve as the legal representative to the Fraud Prevention and Financial Safety team.


• Manage corporate insurance claims and coverage issues.


• Provide legal support to DA. Davidson Trust Company as necessary and requested.


• Assist Compliance and Registrations with licensing and customer issues as necessary or requested.


• Monitor legal developments and recommending changes to company policies and practices, while assisting to create additional policies that may be needed.


• Assist with special projects and perform other duties as necessary or requested.

What we offer:

• Medical, Dental and Vision


• Company 401(k)and ESOP contribution


• Generous sick, vacation, and maternity/parental leave


• Paid holidays


• Professional Development Opportunities


• Tuition Reimbursement ($15,000 lifetime cap)


• Discounted personal insurance including home, auto and recreational vehicles


• Charitable gift-matching program


• Davidson Day of Giving – Our tradition of positively impacting communities in which we live and work.

The potential base pay hiring range for this role is $150,000 to $190,000 yearly. The compensation offered will be determined on a case-by-case basis considering a variety of factors including, but not limited to, the skills, relevant work experience, and geographic location of each specific candidate.

D.A. Davidson has been in business for 90 years! As an employee-owned company, our success is driven by our high standards of business ethics, integrity and the belief that our Associates are our most important assets. We hope you will consider joining us!

Equal Opportunity & Diversity

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.

At D.A. Davidson, we are committed to fostering a diverse environment that supports the development and inclusivity of all employees.

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.

ACKNOWLEDGMENT

Please answer all questions carefully. By submitting this application for employment, I certify that all of the above information is true and complete and I understand that any falsification or omission of information made by me may disqualify me from further consideration for employmentor, if hired, may result in my termination of my employment at any time during the period of myemployment, regardless of the amount of time that has passed. California applicants, please see D.A. Davidson’s California Resident Privacy Policy.