Vice President, Associate General Counsel - Capital Markets
D.A. Davidson Companies is an independent, employee-owned company with a rich history spanning 90 years. We are dedicated to conducting our business in accordance with the highest standards of integrity and ethics, and delivering outstanding service to our clients and each other. We support a friendly, open and supportive culture, and encourage candid communication and productive engagement that make our companies and each of us better. Just as we work to improve our clients’ financial well-being, we also work to strengthen local communities—and giving back is one of our core values. You can learn more about our company culture and impact in our latest annual report.
Function:
Serve as an in-house legal counsel to D.A. Davidson Companies, providing legal advice and guidance to support the conduct of the Companies’ business in compliance with all applicable laws, rules, and regulations and in a manner consistent with the highest standards of integrity and professional responsibility. The position supports the Companies’ capital markets businesses (equity and fixed income), with primary legal responsibility for the Fixed Income Capital Markets business, including municipal bonds (underwriting, municipal advisory, and secondary sales and trading) and taxable products (including certificates of deposit, preferred securities trading, and corporate, GSE, and U.S. Treasury securities).
The role is responsible for advising on complex legal and regulatory matters, responding to legal inquiries from business and control personnel, and assisting in the development, implementation, and enhancement of policies, procedures, and business practices based on legal and regulatory analysis. Responsibilities include drafting, reviewing, and negotiating a broad range of transaction and commercial agreements, as well as providing legal support on strategic initiatives and firmwide projects.
The position operates in a dynamic and evolving business and regulatory environment and is e...