Associate General Counsel - Equity Capital Markets

    • Job Tracking ID: 85444-323243
    • Job Location: Denver, CO
      Costa Mesa, CA
    • Job Level: Mid Career (2+ years)
    • Level of Education: Any
    • Job Type: Full-Time/Regular
    • Date Updated: 05/10/2021
    • Years of Experience: 3+
    • Starting Date: ASAP
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Job Description

D.A. Davidson Companies is an independent, employee-owned company with a rich history spanning more than 80 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:
This role will serve as senior in-house legal counsel for the Equity Capital Markets (ECM) division, which includes the company’s investment banking, institutional research, sales, trading and CD Underwriting businesses. The Associate General Counsel for ECM advise on complex legal issues and will work to ensure the division’s business affairs are conducted ethically, responsibly and in adherence with all applicable laws, rules and regulations. The position is challenged to remain current on industry, contract, compliance and corporate and securities law legal issues in a dynamic, ever-changing business environment.

 

Experience and Skills

Qualifications:
* Law degree with a license to practice in one or more states.
* Minimum 3 year experience in Equity Capital Markets, with an emphasis on investment banking (corporate finance and M&A transactions), research, institutional sales, trading and market making.
* Current and broad knowledge of securities rules and regulations as well as corporate and general law.
* Ethical, reliable and responsible. Maintain client confidentiality.
* Solution-orientated individual who can work effectively and proactively with external and internal clients. Relates to others, at all levels, in a professional manner in order to accomplish work responsibilities and objectives.
* Excellent written and verbal communication skills; ability to communicate in a clear and service oriented manner.
* Experience drafting and successfully negotiating contracts, engagement agreements and client disclosure documents.
* Able to effectively prioritize; highly responsive to urgent situations with a strong attention to detail.

Duties:
* Provide legal advice to Equity Capital Markets management. Recommend and assist in establishing, maintaining and implementing Company policies and procedures based on legal opinion.
* Participate and coordinate complex legal projects for Equity Capital Markets’ business lines, including investment banking, research, institutional sales, trading, market making, syndicate and CD-underwriting matters including federal, state and local laws regarding such matters.
* Review and/or draft transaction-related documents, including underwriting agreements, debt agreements, engagement letters, non-disclosure agreements, fairness opinions and other communications or disclosures for Equity Capital Markets business lines.
* Identify and research new laws, rules and regulations that will impact Equity Capital Markets. Distribute information regarding those policies and procedures to appropriate personnel. Assist in the development or modification of current policies and procedures to address any changes and communicate resulting process.
* Work closely and collaboratively with the Compliance Department on legal and regulatory issues and policies and procedures as noted above.
* Assist in the defense of the Company against litigation and respond to inquiries and subpoenas involving the Equity Capital Markets area and potentially other business units as needed. Coordinate and manage, together with the General Counsel, all aspects of litigation, including selection and management of outside counsel, production of documents, management of involved employees and witnesses and advising relevant business leaders.
* Participate in various Equity Capital Markets Committees as necessary or appropriate.
* Assist with special projects and perform other duties as necessary or requested.

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, gender, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.