Associate General Counsel – Dispute Resolution, Recruiting & Special Legal Matters
for sections like About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule. Use - for any list of duties/requirements/benefits, and
for prose. Do NOT repeat job title as heading. Do NOT put Job ID/requisition numbers as headings. Preserve all substantive info. Remove boilerplate: cookie/navigation/legal/EEO/equal-opportunity/scam-warning boilerplate, duplicated lines, application instructions. Include a section ONLY when posting has real, specific content for it — never emit heading followed by filler/placeholder text. Prefer few substantive sections over many thin ones.
We need to parse the posting.
Key sections:
- About the role / Function: description of role: "Serve as an in-house legal counsel..." etc. This is prose.
- Responsibilities / Duties: list of duties.
- Qualifications: list of qualifications.
- Skills: maybe some overlapping but we can combine.
- Benefits: "What we offer: Competitive salary plus excellent benefits and perks including, but not limited to: ..." list.
- Pay: "The potential base pay hiring range for this role is $150,000 to $190,000 yearly." Also mention compensation determined case-by-case.
- Schedule: Not mentioned. So we should NOT create Schedule section.
- Also maybe "About the company" but not required heading; we could include under About the role? The instruction says use headings for section headings (e.g. About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule). So we can include About the role, Responsibilities, Qualifications, Benefits, Pay. Possibly Skills if we have distinct skill list; but qualifications already cover many. We could combine Qualifications and Skills into one section called Qualifications (or Requirements). The instruction says we can use Requirements heading. But we need to decide.
We need to avoid filler. Ensure we don't create sections with placeholder like "not specified". So only include sections with actual content.
We need to preserve all substantive information. So we need to include details from the posting: company description, function, duties list, qualifications list, benefits list, pay range.
We must not include boilerplate like EEO statements, accommodation requests, acknowledgment, etc. Also remove duplicated lines.
We need to output only HTML fragment, no /, no markdown fences.
Let's extract substantive content.
Company description: first paragraph about D.A. Davidson Companies: independent employee-owned, 90 years, highest standards, friendly culture, etc. Also mention annual report. That's substantive about company; could be part of About the role or maybe a separate "About the company" but not in list. We could incorporate into About the role section.
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."
That's substantive.
Duties list: bullet points after "Duties:" each line starts with a verb. We'll make
- .
Qualifications list: after "Qualifications:" each line bullet.
Benefits: after "What we offer:" list.
Pay: "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."
We could also note that it's competitive salary plus benefits already covered.
We should not include duplicated lines like the repeated EEO statements.
We need to ensure we don't include any application instructions like "ACKNOWLEDGMENT Please answer all questions carefully..." etc.
Now produce HTML.
Structure:
About the role
... company description + function ... maybe combine.
Responsibilities
- ... duties ...
Qualifications
- ... qualifications ...
Benefits
- ... benefits ...
Pay
... pay range ...
We could also include a short paragraph about company culture in About the role.
Let's craft About the role paragraph:
"D.A. Davidson Companies is an independent, employee-owned company with a 90‑year history, dedicated to conducting business with the highest standards of integrity and ethics while delivering outstanding service. The firm fosters a friendly, open, supportive culture that encourages candid communication and community involvement. As in‑house legal counsel, you will 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; respond to complex requests for legal advice; recommend and assist in developing policies and procedures; review, develop and negotiate complex legal documents; stay current on broker‑dealer and registered investment advisor legal issues; and supervise the Associate General Counsel – Employment and Employee Benefits."
That captures function and company description.
Now Responsibilities: list each duty from "Duties:" section.
Let's extract each bullet:
- 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
We need to ensure we keep the content exactly, but we can trim minor punctuation.
Now Qualifications list:
- 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
Note: Some lines have minor grammar issues; we keep as is.
Now Benefits list:
- Competitive salary plus excellent benefits and perks including, but not limited to:
- 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
But note the first bullet "Competitive salary plus excellent benefits and perks including, but not limited to:" is a heading for the list; we could treat that as a paragraph then list items. However instruction: Use - for any list of duties/requirements/benefits. So we should make a list where each item is a benefit. The first line is more of an intro; we could incorporate into a
before the list, or we could make it a list item but it's awkward. Better:
Competitive salary plus excellent benefits and perks including, but not limited to:
then - Medical, Dental and Vision
... etc.
But we need to preserve all substantive information; we can include that intro sentence as a .
Now Pay section: include the pay range sentence and case-by-case determination.
We could make a
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.
Now we must not include Schedule section.
Now ensure we didn't include any boilerplate like EEO statements, acknowledgment, etc.
Check for duplicated lines: we have not included the repeated EEO paragraphs.
Now produce final HTML.
We need to output only the HTML fragment.
Let's craft:
About the role
D.A. Davidson Companies is an independent, employee-owned company with a 90‑year history, dedicated to conducting business with the highest standards of integrity and ethics while delivering outstanding service. The firm fosters a friendly, open, supportive culture that encourages candid communication and community involvement. As in‑house legal counsel, you will 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; respond to complex requests for legal advice; recommend and assist in developing policies and procedures; review, develop and negotiate complex legal documents; stay current on broker‑dealer and registered investment advisor legal issues; and supervise the Associate General Counsel – Employment and Employee Benefits.
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
for prose. Do NOT repeat job title as heading. Do NOT put Job ID/requisition numbers as headings. Preserve all substantive info. Remove boilerplate: cookie/navigation/legal/EEO/equal-opportunity/scam-warning boilerplate, duplicated lines, application instructions. Include a section ONLY when posting has real, specific content for it — never emit heading followed by filler/placeholder text. Prefer few substantive sections over many thin ones. We need to parse the posting. Key sections: - About the role / Function: description of role: "Serve as an in-house legal counsel..." etc. This is prose. - Responsibilities / Duties: list of duties. - Qualifications: list of qualifications. - Skills: maybe some overlapping but we can combine. - Benefits: "What we offer: Competitive salary plus excellent benefits and perks including, but not limited to: ..." list. - Pay: "The potential base pay hiring range for this role is $150,000 to $190,000 yearly." Also mention compensation determined case-by-case. - Schedule: Not mentioned. So we should NOT create Schedule section. - Also maybe "About the company" but not required heading; we could include under About the role? The instruction says use headings for section headings (e.g. About the role, Responsibilities, Requirements, Qualifications, Skills, Benefits, Pay, Schedule). So we can include About the role, Responsibilities, Qualifications, Benefits, Pay. Possibly Skills if we have distinct skill list; but qualifications already cover many. We could combine Qualifications and Skills into one section called Qualifications (or Requirements). The instruction says we can use Requirements heading. But we need to decide. We need to avoid filler. Ensure we don't create sections with placeholder like "not specified". So only include sections with actual content. We need to preserve all substantive information. So we need to include details from the posting: company description, function, duties list, qualifications list, benefits list, pay range. We must not include boilerplate like EEO statements, accommodation requests, acknowledgment, etc. Also remove duplicated lines. We need to output only HTML fragment, no /, no markdown fences. Let's extract substantive content. Company description: first paragraph about D.A. Davidson Companies: independent employee-owned, 90 years, highest standards, friendly culture, etc. Also mention annual report. That's substantive about company; could be part of About the role or maybe a separate "About the company" but not in list. We could incorporate into About the role section. 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." That's substantive. Duties list: bullet points after "Duties:" each line starts with a verb. We'll make
- .
Qualifications list: after "Qualifications:" each line bullet.
Benefits: after "What we offer:" list.
Pay: "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."
We could also note that it's competitive salary plus benefits already covered.
We should not include duplicated lines like the repeated EEO statements.
We need to ensure we don't include any application instructions like "ACKNOWLEDGMENT Please answer all questions carefully..." etc.
Now produce HTML.
Structure:
About the role
... company description + function ... maybe combine.
Responsibilities
- ... duties ...
Qualifications
- ... qualifications ...
Benefits
- ... benefits ...
Pay
... pay range ...
We could also include a short paragraph about company culture in About the role. Let's craft About the role paragraph: "D.A. Davidson Companies is an independent, employee-owned company with a 90‑year history, dedicated to conducting business with the highest standards of integrity and ethics while delivering outstanding service. The firm fosters a friendly, open, supportive culture that encourages candid communication and community involvement. As in‑house legal counsel, you will 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; respond to complex requests for legal advice; recommend and assist in developing policies and procedures; review, develop and negotiate complex legal documents; stay current on broker‑dealer and registered investment advisor legal issues; and supervise the Associate General Counsel – Employment and Employee Benefits." That captures function and company description. Now Responsibilities: list each duty from "Duties:" section. Let's extract each bullet: - 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 We need to ensure we keep the content exactly, but we can trim minor punctuation. Now Qualifications list: - 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 Note: Some lines have minor grammar issues; we keep as is. Now Benefits list: - Competitive salary plus excellent benefits and perks including, but not limited to: - 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 But note the first bullet "Competitive salary plus excellent benefits and perks including, but not limited to:" is a heading for the list; we could treat that as a paragraph then list items. However instruction: Use- for any list of duties/requirements/benefits. So we should make a list where each item is a benefit. The first line is more of an intro; we could incorporate into a
before the list, or we could make it a list item but it's awkward. Better:
Competitive salary plus excellent benefits and perks including, but not limited to:
then- Medical, Dental and Vision ... etc. But we need to preserve all substantive information; we can include that intro sentence as a
- 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
. Now Pay section: include the pay range sentence and case-by-case determination. We could make a
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.
Now we must not include Schedule section. Now ensure we didn't include any boilerplate like EEO statements, acknowledgment, etc. Check for duplicated lines: we have not included the repeated EEO paragraphs. Now produce final HTML. We need to output only the HTML fragment. Let's craft:About the role
D.A. Davidson Companies is an independent, employee-owned company with a 90‑year history, dedicated to conducting business with the highest standards of integrity and ethics while delivering outstanding service. The firm fosters a friendly, open, supportive culture that encourages candid communication and community involvement. As in‑house legal counsel, you will 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; respond to complex requests for legal advice; recommend and assist in developing policies and procedures; review, develop and negotiate complex legal documents; stay current on broker‑dealer and registered investment advisor legal issues; and supervise the Associate General Counsel – Employment and Employee Benefits.
Responsibilities