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

About the role

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 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.

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.

Qualifications

• Law degree with a license to practice in one or more states.
• Ethical, reliable and responsible.
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