Associate General Counsel - Wealth Management

    • Job Tracking ID: 85444-356517
    • Job Location: Denver, CO
    • Job Level: Any
    • Level of Education: Any
    • Job Type: Full-Time/Regular
    • Date Updated: 04/28/2023
    • Years of Experience: Any
    • Starting Date: ASAP
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Job Description

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 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.

Experience and Skills

* 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 and registered investment adviser.
* 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, client disclosure documents, and legal memorandums.
* High productivity and the ability to produce quality work products.
* 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 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.

* 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.
* Provide legal advice to Wealth Management Business Unit to facilitate the sale of products and services by a dually registered broker-dealer and investment adviser.
* Serve as legal resource for Wealth Management in all areas of broker-dealer and investment advisory business by providing guidance on complex legal issues with the intent of achieving business objectives through researched legal analysis and the assessment of business and regulatory risk.
* Review, draft and revise agreements, disclosures, client notices, and legal memorandum in support of the Wealth Management business.
* Act as point person for privacy and cybersecurity issues, including maintaining current the firm’s privacy policy based on federal and state law requirements and advising on any security instances that arise.
* Advise on establishing, maintaining and implementing Company policies and procedures based on legal opinion.
* Identify and research new laws, rules, regulations and cases related to broker-dealer and registered investment advisor (from the SEC, FINRA, DOL and various states) that will impact the Company. Distribute information regarding appropriate personnel through digestible presentations and legal analysis. Assist Wealth Management in the development or modification of current policies and procedures to address any changes and communicate resulting process.
* Participate and coordinate legal projects involving Wealth Management, including onboarding new products and services, enhancing digital interfaces, reviewing and updating client communications, updating regulatory disclosure documents (such as Form CRS, Regulation Best Interest Disclosures, DOL disclosures, ADV 2A and 2B Disclosures), analyzing conflicts of interest, operational issues, privacy laws and analyzing self-reporting obligations for remediations.
* Assist Compliance with the Company’s response to and defense of regulatory matters and inquiries.
* Conduct internal investigations related to gaps in procedures and remediations.
* Assist with special projects and perform other duties as necessary or requested.

What we offer:
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.

Salary range for this position is $120,754 - $160,000 and additional consideration will be provided in recognition of skills and relevant prior work experience. This role will be eligible for all benefits that D.A. Davidson Companies provides for its employees, according to the benefit plans.

D.A. Davidson has been in business for over 87 years! As an employee-owned company, our success is driven by our high standards of business ethics, integrity and the belief that our Associates are our most important assets. We hope you will consider joining us!

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.