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Compliance Examiner

3 weeks, 3 days ago
United States
Full-time
Junior
Compliance Manager
Finance and Accounting
Apply Now
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
View All Jobs 5

Description

  • Schedule branch examinations and manage related travel expenses.
  • Collect and analyze examination data to identify irregularities, trends, and patterns.
  • Conduct onsite and virtual branch examinations to assess compliance with Firm policies, written supervisory procedures, and industry regulations.
  • Draft and distribute inspection-related communications to branch principals and internal business and supervision partners.
  • Review potential restricted trade violations, outside business activities, political contributions, and required certifications as needed.
  • Alert internal stakeholders to identified issues and escalate matters appropriately.
  • Assist with investigations and follow-up for customer complaints, arbitrations, regulatory investigations, and inquiries.
  • Support sensitive compliance or supervision issues with internal leaders in assigned functional areas.
  • Recommend process improvements to improve branch-related and Firm-level compliance processes.
  • Maintain required Firm books and records related to assigned responsibilities.

Requirements

  • FINRA SIE, Series 7, Series 65 or 66, and Series 9 and 10 or Series 24 licenses are required.
  • Candidates without principal licensure (Series 9/10 or 24) may be considered if they can obtain it within 6 months of starting.
  • Bachelor’s degree in business, finance, or a related field, or relevant securities industry experience.
  • 2+ years of compliance experience and 5 years of industry experience preferred.
  • Basic knowledge of investment concepts, practices, laws, and regulations, including FINRA, SEC, MSRB, and state/jurisdiction rules.
  • Experience conducting surveillance oversight of firm supervisory processes is desired.
  • Strong written, oral, and interpersonal communication skills.
  • Ability to provide interpretive compliance guidance and use critical thinking and independent judgment in moderate to complex situations.
  • Ability to prioritize work and meet firm and regulatory deadlines.
  • Proficiency with Microsoft Outlook, Word, and Excel; advanced technology skills are desired.
  • Ability and willingness to travel more than 35% of the time.
  • Professional and personable demeanor.

Benefits

  • Competitive salary with a base pay range of $54,486 to $80,000 annually.
  • Medical, dental, and vision insurance.
  • Company 401(k) and ESOP contribution.
  • Generous sick, 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.
  • Charitable gift-matching program.

Interested in this position?

Apply directly on the company website

Apply Now

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