Vice President, Associate General Counsel - Capital Markets

Responsibilities

• Provide legal advice to senior management and producers in connection with capital markets activities
• Recommend, develop, and assist in establishing, maintaining, and implementing Company policies and procedures based on legal and regulatory analysis
• Monitor, interpret, and communicate new or changing laws, rules, and regulations impacting the Companies, and assist in updating policies, procedures, and business practices as needed
• Lead and coordinate complex legal projects involving Fixed Income Capital Markets, including municipal underwriting, municipal advisory, and corporate, agency, and government bond sales and trading
• Draft, review, and negotiate a wide range of agreements and documentation, including underwriting agreements, municipal advisory agreements, non-disclosure agreements, and other transaction and commercial contracts
• Respond to subpoenas, regulatory inquiries, examinations, and investigations, and coordinate with internal stakeholders and external counsel as appropriate
• Manage and coordinate capital markets related litigation, including the engagement and supervision of outside counsel, document production, witness preparation, settlement negotiations and the development and execution of resolution strategies
• Provide legal support to Compliance and other control functions on regulatory, licensing, and customer-related matters
• Participate in strategic initiatives and special projects, including those involving new products, services, or technologies

Qualifications

• Juris Doctor degree and an active license to practice law in at least one U.S. jurisdiction
• Significant experience advising financial institutions, including broker-dealers and municipal advisors, on capital markets and regulatory matters
• Demonstrated knowledge of federal and state securities laws, rules, and regulations, including those applicable to fixed income products and capital markets activities
• Substantial experience in capital markets legal practice, with a focus on fixed income products and transactions
• Experience drafting, reviewing, and negotiating transaction documentation, engagement agreements, and client-facing disclosure materials
• Strong analytical, judgment, communication, and negotiation skills, with the ability to provide practical, risk-based legal advice
• Ability to manage multiple complex matters concurrently and deliver high-quality work product in a fast-paced environment
• Strong attention to detail
• Facility with technology-enabled work environments and willingness to leverage emerging tools and processes to improve efficiency and effectiveness
• Ability to collaborate effectively with internal stakeholders, including senior management, business personnel, Compliance, and risk functions, as well as external counsel and regulators
• High level of professionalism, discretion, and commitment to confidentiality

Pay

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

Schedule

The potential base pay hiring range for this role is $150,000 to $225,000 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.