Teams at D.A. Davidson Companies

Provide paralegal and administrative support to the General Counsel and legal team, including legal research, document and contract preparation, litigation and e-discovery support, subpoena responses, vendor/contract management, regulatory filing assistance, calendar/travel/meeting coordination, and maintaining confidential legal files and tracking logs.

Conduct onsite and virtual compliance examinations of wealth management branch offices, collect and analyze data, evaluate adherence to Firm policies and regulations, draft inspection communications, escalate issues, assist with investigations and restricted trade reviews, maintain records, recommend process improvements, and support branch compliance as an ongoing contact.

Provide legal advice for capital markets businesses, focusing on fixed income products, and ensure compliance with regulatory matters. Manage documentation, litigation, and strategic initiatives.