Associate General Counsel - Capital Markets

D.A. Davidson • Quinte West, ON

2d • Onsite

About The Position

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 expected to adapt to changes in the Companies’ business activities, regulatory landscape, and technological developments, including the increasing use of data analytics, automation, and artificial intelligence in capital markets activities and legal service delivery.

Requirements

• 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.
• Ability to maintain regular, predictable attendance.

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.
• Serve as legal counsel to the Fixed Income and Equity Capital Markets business units on complex legal, regulatory, and transactional matters.
• 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, in coordination with the General Counsel.
• 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, and perform such other duties as may be assigned from time to time.

Benefits

• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: Ph.D. or professional degree