Compliance Associate (Junior)

11 hours, 54 minutes ago
Full-time
Junior
Finance and Accounting
D.A. Davidson Companies

D.A. Davidson Companies

D.A. Davidson Companies is a diversified financial services company offering expertise in wealth management, capital markets, investment banking, trust and asset management. With a tradition of personalized client service, our advisors provide trusted ...

Capital Markets
1K-5K
Founded 1935

Description

  • Support the day-to-day compliance program, including branch examinations and AML activities.
  • Provide general support to branch associates and internal business and supervision partners in wealth management and capital markets.
  • Assist with associate disclosure processes, customer complaints, and other assigned compliance projects.
  • Perform data collection for branch examination requirements and analyze data to identify irregularities, trends, and patterns.
  • Accompany compliance examiners during onsite or virtual examinations to assess adherence to firm policies, WSPs, and industry regulations.
  • Assist with the administration of associate disclosures, including OBAs, PSTs, OIAs, political contributions, and semiannual and annual certifications in Comply.
  • Support the AML Compliance Officer with transaction monitoring as needed.
  • Help administer customer complaints and monitor, respond to, or redirect inquiries sent to the Compliance Department inbox.

Requirements

  • Bachelor’s degree in business, finance, or a related field, or relevant professional experience in the financial services industry.
  • Basic knowledge of financial markets and investment products, with willingness to expand knowledge.
  • Willingness and ability to obtain the FINRA Securities Industry Essentials Exam (SIE) within 6 months of hire.
  • Professional and personable demeanor.
  • Advanced knowledge of Microsoft Office products and ability to work in a digitized environment; additional technology skills preferred.
  • Strong written, oral, and interpersonal communication skills.
  • Ability to communicate firm policies and industry regulations effectively to others.
  • Strong attention to detail and organizational skills.
  • Ability to prioritize, plan, meet deadlines, and work independently.
  • Willingness and ability to travel up to 10% of the time.

Benefits

  • Competitive salary with a base pay range of $20.95-$31.43 per hour.
  • Medical, dental, and vision coverage.
  • Company 401(k) and ESOP contribution.
  • Generous sick leave, vacation, and maternity/parental leave.
  • Paid holidays.
  • Professional development opportunities.
  • Tuition reimbursement up to a $15,000 lifetime cap.
  • Discounted personal insurance, including home, auto, and recreational vehicles.

Interested in this position?

Apply directly on the company website

Apply Now

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